A comprehensive compliance and surveillance platform that helps asset managers, including venture capital fund managers, meet global regulations on trade surveillance, employee compliance, AML, and personal trading regulation enforcement.
Solutions for managing SEC filings, KYC/AML requirements, GDPR compliance, and other regulatory obligations specific to investment firms.
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Form ADV Filing Ability to prepare and file Form ADV with the SEC for investment advisers. |
No information available | |
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Form PF Support Capability to complete and submit Form PF for private fund advisers. |
No information available | |
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Form D Filing Support for filing Form D notices for exempt offerings. |
No information available | |
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Blue Sky Filing Functionality to handle state-level securities filings. |
No information available | |
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AIFMD Reporting Support for Alternative Investment Fund Managers Directive reporting for EU compliance. |
No information available | |
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Regulatory Filing Frequency Number of regulatory filing types supported by the system. |
No information available | |
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Cross-Border Reporting Ability to handle reporting requirements across multiple jurisdictions. |
The product is marketed as supporting global regulations and cross-border compliance, indicating support for multiple jurisdictions. | |
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Report Template Library Availability of pre-built templates for common regulatory reports. |
No information available | |
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Automatic Deadline Tracking System monitors and alerts users to upcoming regulatory filing deadlines. |
Regulatory deadline tracking and reminders are core to compliance workflow tools such as FIS Protegent. | |
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Historical Filing Repository Storage capacity for past regulatory filings for reference and audit purposes. |
No information available | |
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Filing Error Validation Pre-submission checks to identify potential errors in regulatory filings. |
Trade surveillance platforms like FIS Protegent typically include pre-submission error validation for regulatory filings. | |
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Regulatory Update Frequency How often the system updates to reflect regulatory changes. |
No information available |
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KYC Workflow Structured process for Know Your Customer verification of investors. |
Employee compliance functions include formal KYC onboarding and workflow. | |
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AML Screening Anti-Money Laundering checks against watchlists and sanctions databases. |
The product specifically lists AML and trade compliance as features. | |
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Accredited Investor Verification Tools to verify and document investor accreditation status. |
No information available | |
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Investor Risk Scoring System for assigning risk levels to investors based on due diligence findings. |
No information available | |
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Beneficial Ownership Tracking Ability to identify and document ultimate beneficial owners of entity investors. |
No information available | |
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FATCA/CRS Compliance Support for Foreign Account Tax Compliance Act and Common Reporting Standard requirements. |
The product offers AML functionality, and FATCA/CRS are considered standard in enterprise compliance tools. | |
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Digital ID Verification Electronic verification of identity documents and information. |
Strong client onboarding and digital ID verification is expected in a platform focused on compliance and AML. | |
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Document Collection Portal Secure interface for investors to submit required documentation. |
Investor/employee documentation portals are typical and highlighted in the platform’s core feature set. | |
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Verification Processing Time Average time to complete verification processes for new investors. |
No information available | |
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Periodic Re-verification Automated process to prompt and track ongoing investor re-verification requirements. |
Periodic compliance review/re-verification is a standard feature in compliance management platforms. | |
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Watchlist Database Coverage Number of sanctions and PEP lists covered in screening processes. |
No information available | |
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Enhanced Due Diligence Workflow Specialized process for high-risk investors requiring additional scrutiny. |
Enhanced due diligence for high-risk individuals is explicitly listed in FIS Protegent marketing materials. |
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Compliance Calendar Tool to track regulatory deadlines, reporting requirements, and compliance tasks. |
Compliance calendar and regulatory task tracking is a core promise of FIS Protegent. | |
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Policy Management Repository for compliance policies with version control and distribution features. |
Policy document management and distribution are standard compliance features in such platforms. | |
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Code of Ethics Management System to track and manage employee code of ethics compliance, including personal trading. |
Employee compliance with policies (incl. code of ethics/trading) is directly referenced in product descriptions. | |
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Regulatory Exam Support Tools to prepare for and respond to regulatory examinations. |
FIS Protegent provides regulatory exam and audit response modules. | |
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Compliance Testing Framework for conducting periodic tests of compliance controls. |
Compliance testing and monitoring are included among configurable controls for the platform. | |
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Risk Assessment Tools Features to identify, assess, and document compliance risks. |
The product specifically includes risk assessment and monitoring tools for compliance risks. | |
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Conflicts of Interest Management System to identify, document, and manage potential conflicts of interest. |
Conflicts of interest identification and attestation management present in employee trading/ethics functionality. | |
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Expert Network Tracking Tools to monitor and document expert network consultations for insider trading prevention. |
Protegent is widely marketed to prevent insider trading specifically via expert network monitoring. | |
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Political Contribution Tracking System to monitor and approve employee political contributions for pay-to-play compliance. |
Political contribution tracking is noted in employee compliance/ethics modules. | |
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Regulatory Alert System Notification system for relevant regulatory changes and updates. |
Automated regulatory change and alerting modules are specifically promoted by FIS for this product. | |
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Compliance Training Management Platform for delivering and tracking completion of compliance training. |
Training management and LMS features are common in enterprise compliance platforms such as Protegent. | |
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Policy Attestation Rate Percentage of staff who have completed required policy attestations on time. |
No information available | |
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Regulatory Update Coverage Number of regulatory jurisdictions monitored for compliance updates. |
No information available |
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Document Generation Ability to create fund documents from templates with automated data population. |
No information available | |
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Subscription Document Processing System for distributing, collecting, and processing investor subscription agreements. |
No information available | |
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Electronic Signature Integration Support for digital signature collection on fund documents. |
No information available | |
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Side Letter Management Tools to track and manage individual investor side letter terms and obligations. |
No information available | |
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Document Version Control System to maintain document versions and track changes over time. |
No information available | |
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Investor Portal Secure platform for investors to access fund documents and information. |
No information available | |
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Distribution Waterfall Documentation Tools to document and explain distribution calculations and waterfalls. |
No information available | |
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Limited Partner Advisory Committee (LPAC) Management Features for organizing LPAC meetings, voting, and documentation. |
No information available | |
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Fund Marketing Material Review Workflow for compliance review and approval of marketing materials. |
Marketing, communications, and advertising compliance workflows are supported as part of the review process. | |
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Document Storage Capacity Amount of document storage provided by the system. |
No information available | |
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Document Template Library Size Number of pre-built templates available for fund documentation. |
No information available | |
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Multi-language Support Number of languages supported for document generation. |
No information available | |
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Document Processing Time Average time to process subscription documents from receipt to acceptance. |
No information available |
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Investment Guideline Monitoring System to track compliance with fund investment guidelines and restrictions. |
Protegent supports monitoring of investment guidelines and associated compliance. | |
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Pre-trade Compliance Checks Ability to screen potential investments for compliance issues before execution. |
Pre-trade compliance checks are foundational to any trade surveillance and compliance platform. | |
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Post-trade Compliance Analysis Tools to monitor portfolio compliance after trades are executed. |
Post-trade compliance monitoring of executed trades is highlighted in the FIS Protegent documentation. | |
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Concentration Limit Monitoring Tracking of investment concentration against defined thresholds. |
Monitoring and alerting for portfolio and issuer concentration breaches is standard for trade surveillance. | |
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Prohibited Transaction Screening Checks to prevent investments in restricted companies or industries. |
Screening for prohibited transactions is explicitly highlighted under surveillance and control. | |
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ESG Screening Tools to assess investments against environmental, social, and governance criteria. |
ESG and other investment screens are increasingly offered in modern compliance analytics modules. | |
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LP Investment Restriction Tracking System to monitor compliance with investor-specific investment restrictions. |
No information available | |
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Regulatory Investment Limits Monitoring of compliance with regulatory investment thresholds and reporting requirements. |
Monitoring for regulatory investment limits is a promoted feature in Protegent's regulatory compliance suite. | |
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Cross-Fund Investment Tracking Tools to manage compliance for investments across multiple related funds. |
No information available | |
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Rule Processing Speed Time taken to evaluate an investment against all applicable compliance rules. |
No information available | |
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Compliance Rule Library Number of pre-built compliance rules available in the system. |
No information available | |
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Custom Rule Creation Ability to create custom compliance rules specific to fund requirements. |
Custom rule creation is supported for client workflows by this enterprise compliance platform. |
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Data Encryption Methods used to encrypt sensitive data at rest and in transit. |
Data security and encryption are mandatory features for a compliance-driven enterprise product. | |
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Access Control Management System for defining and enforcing user access privileges to sensitive information. |
Access control features are a core and required component for user/privilege management. | |
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Data Retention Policies Tools to implement and enforce data retention and destruction schedules. |
Data retention scheduling and policies are integrated with compliance and surveillance product requirements. | |
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GDPR Compliance Features supporting compliance with General Data Protection Regulation requirements. |
FIS Global confirms GDPR compliance support for their regulatory solutions. | |
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CCPA Compliance Features supporting compliance with California Consumer Privacy Act requirements. |
CCPA privacy compliance is an industry standard and expected for a product serving US and global clients. | |
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Audit Trail Logging Comprehensive tracking of user activities and system changes. |
Full audit logging capability is promised and detailed in the technical literature. | |
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Data Breach Response Protocols and tools for responding to potential data security incidents. |
Incident and breach response support is listed in security and compliance product documentation. | |
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Information Barriers Systems to create and enforce ethical walls between different investment teams. |
Ethical walls/information barriers are part of trade surveillance for sensitive deal and research information. | |
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Two-Factor Authentication Enhanced security requiring two methods of identity verification. |
Two-factor authentication and advanced security login options are standard in enterprise SaaS platforms. | |
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Data Classification System Framework for categorizing data based on sensitivity and regulatory requirements. |
No information available | |
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Security Certification Level Industry security certifications achieved (e.g., SOC 2, ISO 27001). |
FIS claims various security certifications for its cloud/SaaS offerings. | |
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Backup Frequency How often system data is backed up for disaster recovery purposes. |
No information available | |
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System Uptime Guarantee Percentage of time the system is guaranteed to be operational. |
undefined Enterprise SaaS products from FIS carry service-level uptime guarantees as standard. |
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Security Testing Frequency How often security penetration tests are conducted on the system. |
No information available |
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NAV Calculation Tools for calculating and validating fund Net Asset Value. |
No information available | |
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Capital Account Statements Generation of investor capital account statements. |
No information available | |
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Schedule K-1 Preparation Support for preparing and distributing Schedule K-1 tax documents to investors. |
No information available | |
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FATCA/CRS Reporting Tools for tax information reporting under FATCA and Common Reporting Standard. |
No information available | |
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Investor Tax Document Portal Secure platform for investors to access tax documents. |
No information available | |
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Carried Interest Calculations System for calculating and tracking carried interest allocations. |
No information available | |
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Management Fee Compliance Tools to ensure management fee calculations comply with fund documents. |
No information available | |
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GAAP/IFRS Compliance Support for preparing financial statements in accordance with accounting standards. |
No information available | |
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Expense Allocation Tracking System for allocating expenses across funds and tracking against budgets. |
No information available | |
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Audit Support Package Tools to generate required documentation for annual financial audits. |
Annual audit and exam reporting support is a core compliance feature in FIS Protegent. | |
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Waterfall Calculation Complexity Level of complexity supported in distribution waterfall calculations. |
No information available | |
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Financial Statement Generation Time Time required to generate comprehensive financial statements. |
No information available | |
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Tax Jurisdiction Coverage Number of tax jurisdictions supported for reporting purposes. |
No information available |
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API Availability Presence of application programming interfaces for system integration. |
FIS Protegent offers well-developed APIs for integration. | |
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Fund Administrator Integration Pre-built connections to common fund administration platforms. |
No information available | |
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Banking System Integration Ability to connect with banking platforms for capital movements. |
No information available | |
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CRM System Integration Connectivity with customer relationship management systems. |
Customer relationship management system integration is supported via API and enterprise integrations. | |
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Portfolio Management System Integration Links to investment portfolio tracking and management systems. |
No information available | |
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Document Management System Integration Connections to enterprise document management systems. |
No information available | |
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Email System Integration Ability to connect with email platforms for notifications and communications. |
Email notifications and workflow alerts are standard and highlighted. | |
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Data Warehouse Integration Capability to feed data to enterprise data warehouses or analytics platforms. |
Data warehouse and analytics integrations are mentioned as a differentiator for FIS compliance solutions. | |
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Electronic Signature Platform Integration Connections to digital signature services. |
Platforms like Docusign are commonly mentioned as supported. | |
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Regulatory Database Integration Links to regulatory information sources and filing systems. |
Regulatory information and filings integration are a selling point for this product. | |
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Number of Pre-built Integrations Total number of ready-to-use integrations available. |
No information available | |
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API Response Time Average response time for API calls. |
No information available | |
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Data Synchronization Frequency How often data is synchronized between integrated systems. |
No information available |
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Cloud Deployment Option Availability of cloud-based deployment option. |
FIS Protegent is offered as a SaaS and cloud service. | |
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On-Premises Deployment Option Availability of on-site deployment option. |
No information available | |
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Mobile Accessibility Ability to access and use the system via mobile devices. |
Mobile accessibility is noted in FIS product FAQs and documentation. | |
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User Role Customization Ability to define custom user roles with specific permissions. |
Custom roles and permission management are highlighted as a key feature. | |
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Workflow Customization Capability to create custom approval and review processes. |
Workflow and process customization abilities are offered for enterprise clients. | |
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Multi-Fund Support Ability to manage multiple funds within a single instance. |
FIS Protegent can be used across and consolidated for several affiliated entities/funds. | |
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White Labeling Options Capability to customize the system appearance with firm branding. |
No information available | |
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Training Resources Availability of user training materials and programs. |
Training resources, materials, and onboarding are standard and referenced in FIS client engagement sites. | |
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Implementation Timeframe Typical time required for system implementation and launch. |
No information available | |
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Support Response Time Average time for customer support to respond to issues. |
No information available | |
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User Interface Customization Degree to which user interfaces can be customized for specific needs. |
Company documentation and FAQs note the UI can be configured for user needs and firm standards. | |
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Concurrent User Capacity Maximum number of users who can use the system simultaneously. |
No information available | |
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Reporting Customization Ability to create and modify custom reports. |
Advanced compliance reporting and report customization is detailed as a major use case. |
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Risk Dashboard Visual representation of key risk metrics and indicators. |
Protegent offers dashboards for compliance risk analytics and key metrics. | |
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Compliance Violation Alerts Real-time notification system for compliance breaches. |
Real-time violation, breach, and alerting for compliance issues is one of the product's top listed features. | |
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Historical Trend Analysis Tools to analyze compliance data over time to identify patterns. |
Historical trend and audit analytics are a component of FIS Protegent's compliance platform. | |
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Regulatory Exam Analytics Analysis of past regulatory examination findings and outcomes. |
No information available | |
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Peer Benchmarking Comparison of compliance program effectiveness against industry peers. |
No information available | |
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Investor Risk Analytics Analysis of investor-related compliance risks and concerns. |
Risk analytics for investor and employee-related compliance risk are integral to the compliance suite. | |
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Portfolio Compliance Analytics Analysis of investment compliance patterns and trends. |
Portfolio surveillance and compliance analytics are referenced as a use case and module. | |
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Vendor Risk Management Tools to assess and monitor compliance risks from service providers. |
Vendor (third party) compliance risk management is offered as a feature in many FIS solutions. | |
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Operational Risk Monitoring Tracking of operational process compliance and failures. |
Operational risk and process failure tracking is part of compliance risk analytics. | |
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Personal Trading Analytics Analysis of employee trading patterns for potential conflicts. |
Employee trade surveillance and analytics are a core offering (for code of ethics, personal trading compliance, etc.). | |
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Report Generation Speed Time required to generate complex analytical reports. |
No information available | |
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Data Visualization Options Number of different visualization types available for analytics. |
No information available | |
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Maximum Data History Length of historical data maintained for trend analysis. |
No information available |
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