The Protegent surveillance suite of products automates many of the manual financial services / broker dealers compliance processes related to FINRA and the SEC. The suite is comprehensive and fairly easy to implement (depending on your business model and clearing relationships).
Robust and comprehensive product for Finanancial Services Compliance.
Valuable Features:
Room for Improvement:
Custom integration is required as many of these modules are not linked and do not share data easily.
Other Advice:
Overall, this is a great product. The ROI is hard to measure as the more information and data you have, the more you want to analyze it and use it....therefore, it is hard to reduce headcount. Also, as new regulations are introduced, more effort is needed to keep up.
