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FIS™ PROTEGENT PERSONAL TRADING ASSISTANT (PTA)


The employee personal account dealing compliance solution for organizations

Protegent PTA is an online self-service application providing compliance a central location to monitor and manage employee-related compliance activities. It automates trade monitoring under Personal Account Dealing (PAD) requirements, firm’s specific code of conduct and policies and more.

The solution streamlines surveillance requirements for employees’ activities under relevant European and global regulations for financial services organizations. Maintain and manage potential conflicts of interest and market abuse risks anywhere and everywhere.

Benefits include:
- Foster a Compliance Culture: Create a centralized portal to monitor and manage employee trading activity and account disclosure.
- Reduce Regulatory Risk: Minimize corporate exposure with best practice technology and alerts that focus on key conflicts of interest and potential regulatory violations.
- Data Driven Decision Making: Access market data to spot trends, update program goals and redefine internal reporting results.

PROTEGENT PTA


FIS™ Protegent Personal Trading Assistant (PTA)

The employee personal trading compliance solution for organizations.


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One solution for effective compliance


Protegent PTA combines the benefits of a comprehensive, off-the-shelf solution with the adaptability and flexibility of custom-built technology.

Benefits


With economies in freefall and margins shrinking, you increasingly need a clear, comprehensive view of your balance sheet, so you can optimize your profits and reduce liquidity and capital costs.

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View Bulletins

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View Bulletins

View, edit, or delete current distribution templates, or create new templates.

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Distribution Templates

View, edit, or delete both draft & published bulletins, or create a new bulletin.

See List  
image

View Bulletins

View, edit, or delete current distribution templates, or create new templates.

See List  

FIS™ Protegent PTA is an online self-service application providing compliance a central location to monitor and manage employee-related compliance activities. It automates trade monitoring under PAD requirements, firm’s specific code of conduct and policies and more.

It streamlines surveillance requirements for employees’ activities under relevant European and global regulations for financial services organizations. The FIS Protegent PTA SaaS solution helps firms maintain controls in place for management of potential conflicts of interest and market abuse risks anywhere and everywhere.

Benefits of the FIS Protegent SaaS solution include:
- Foster a Compliance culture: Create a centralized portal to monitor and manage employee trading activity and account disclosure
- Reduce Regulatory Risk: Minimize corporate exposure with best practice technology and alerts that focus on key conflicts of interest and potential regulatory violations.
- Data Driven Decision making: Modernize data to spot trends, update program goals and redefine internal reporting results.

The rapid spread of the novel coronavirus is top of mind for many. The safety and protection of our FIS colleagues is our priority, and we’re also fully committed to our clients. So, we’re adapting so that you can continue to rely on our proven, flexible and accessible solutions. Watch our brief video to see how we’re helping our clients deliver critical projects remotely.

Pete Gunnlaugsson

SVP, FIS Corporate Finance and Investor Relations

   904.438.6603    [email protected]

Kim Snider

SVP, FIS Global Marketing and Communications

   904.438.6603    [email protected]

Thursday, 16 July 2020
3:30 p.m. to 5:00 p.m. SGT / HKT
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WEBINAR: Get Started with FIS' Protegent Personal Trading Assistant

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