Henderson Global Investors Monitors Employee Account Dealing with SunGard’s Protegent

London - 3 October 2011

Henderson Global Investors, a global asset manager with over £74.4 billion assets under management, has selected SunGard’s Protegent Personal Trading Assistant (PTA) to help monitor employee personal dealing activity and help ensure compliance with internal codes of conduct and external regulatory requirements. SunGard’s Protegent PTA helps firms efficiently manage employee facing activities that may cause regulatory, financial and reputational risks. Henderson Global Investors uses Protegent PTA to help automate compliance with global personal trading regulatory guidelines outlined by the Financial Services Authority (FSA), Financial Industry Regulatory Authority (FINRA) and the U.S Securities and Exchange Commission (SEC).

Financial markets regulators are increasing mandates and guidelines for managing employee personal account dealing. Protegent PTA helps firms adhere to FSA, FINRA and SEC regulatory guidelines by providing end-to-end personal trading surveillance, from pre-clearance authorization to post-trade reconciliation and reporting. With Protegent PTA’s automated surveillance tools, multi-national firms like Henderson Global Investors can streamline employee surveillance workflow processes and gain visibility into employee activity across their global workforce.

Andrew Vasenden, compliance manager, Henderson Global Investors, said, “SunGard’s Protegent PTA’s automated surveillance capability helps us monitor employee personal dealing and manage internal code of conduct guidelines. We leverage Protegent’s global support and product teams to help increase firm-wide transparency and protect against potential financial and reputational risks.”

Steve Sabin, chief operating officer of SunGard’s Protegent business unit, said, “SunGard’s Protegent PTA helps multi-national customers, like Henderson Global Investments, improve visibility into employee account activity and reduce exposure to possible regulatory and operational risk exposure.”

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