List of FIS Protegent Trading Compliance Customers
FIS
601 Riverside Avenue,
Jacksonville, 32204, FL,
United States
Jacksonville, 32204, FL,
United States
1 904-438-6000
Professional Services
60000
$10.1B
Since 2010, our global team of researchers has been studying FIS Protegent Trading Compliance customers around the world, aggregating massive amounts of data points that form the basis of our forecast assumptions and perhaps the rise and fall of certain vendors and their products on a quarterly basis.
Each quarter our research team identifies companies that have purchased FIS Protegent Trading Compliance for AML, Fraud and Compliance from public (Press Releases, Customer References, Testimonials, Case Studies and Success Stories) and proprietary sources, including the customer size, industry, location, implementation status, partner involvement, LOB Key Stakeholders and related IT decision-makers contact details.
Companies using FIS Protegent Trading Compliance for AML, Fraud and Compliance include: Transamerica Asset Management, a United States based Banking and Financial Services organisation with 8000 employees and revenues of $32.22 billion, Scotiabank, a Canada based Banking and Financial Services organisation with 86746 employees and revenues of $24.55 billion, Zenith Private Wealth Counsel, a Canada based Banking and Financial Services organisation with 200 employees and revenues of $20.0 million and many others.
Contact us if you need a completed and verified list of companies using FIS Protegent Trading Compliance, including the breakdown by industry (21 Verticals), Geography (Region, Country, State, City), Company Size (Revenue, Employees, Asset) and related IT Decision Makers, Key Stakeholders, business and technology executives responsible for the TRM software purchases.
The FIS Protegent Trading Compliance customer wins are being incorporated in our Enterprise Applications Buyer Insight and Technographics Customer Database which has over 100 data fields that detail company usage of TRM software systems and their digital transformation initiatives. Apps Run The World wants to become your No. 1 technographic data source!
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| Logo | Customer | Industry | Empl. | Revenue | Country | Vendor | Application | Category | When | SI | Insight |
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Scotiabank | Banking and Financial Services | 86746 | $24.5B | Canada | FIS Global | FIS Protegent Trading Compliance | AML, Fraud and Compliance | 2015 | n/a |
In 2015 Scotiabank implemented FIS Protegent Trading Compliance within its AML, Fraud and Compliance stack. The deployment targeted trading compliance and pre trade risk evaluation workflows used by front office trading desks and enterprise compliance and risk teams.
FIS Protegent Trading Compliance was configured to support Algo Pre Deal counterparty credit risk checks and to interoperate with Sungard's Protegent PTA for Compliance and Regulatory evaluation, alongside proprietary in house systems. Functional capabilities emphasized rule based compliance screening, trade control orchestration, and risk evaluation output generation for management review.
Integration work included linking pre deal decision points from algorithmic trading engines into the Protegent Trading Compliance workflow, synchronizing compliance signals from Sungard's Protegent PTA, and consolidating outputs with in house reporting systems. The architecture centered on a centralized compliance engine that orchestrated incoming trade events, evaluated counterparty controls, and produced governance artifacts for risk and compliance teams.
Operational support and problem resolution preserved continuity of vital risk evaluation processes and ensured accurate outputs to management as recorded in the engagement. Governance adjustments focused on incident response, configuration tuning, and sustaining the compliance rule set to keep pre trade and regulatory evaluation workflows stable.
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Transamerica Asset Management | Banking and Financial Services | 8000 | $32.2B | United States | FIS Global | FIS Protegent Trading Compliance | AML, Fraud and Compliance | 2008 | n/a |
In 2008, Transamerica Asset Management implemented FIS Protegent Trading Compliance alongside Protegent Customer Onboard as part of its TFA Synergy paperless office platform. The deployment targeted onboarding and account maintenance workflows within the Transamerica Financial Advisors channel, aligning the FIS Protegent Trading Compliance application to AML, Fraud and Compliance controls for new account processing and transaction initiation.
Implementation centered on Protegent Customer Onboard capabilities to capture electronic applications for brokerage and non-brokerage accounts, and to perform automated data completeness and suitability checks. FIS Protegent Trading Compliance was configured to initiate mutual fund account transactions for fund families that accept DST straight-through processing feeds, and to convert paper check deposits into electronic ACH banking instructions as part of the application workflow.
Integrations included an explicit interface with DST Systems, Inc. account web services to submit applications and receive confirmation and newly established account numbers, enabling end-to-end tracking of customer records. The implementation was embedded in TFA Synergy to provide representatives real-time status reports on submitted business and to support the direct-to-fund business channel for electronic mutual fund transactions.
Operational coverage addressed front-office representative workflows and downstream operations responsible for account setup and transaction routing, with governance points implemented around automated suitability review and programmatic submission to mutual fund families. Outcomes stated in implementation materials included streamlining of electronic application submission, confirmation of account establishment via DST, ACH conversion of paper checks, and the availability of real-time status reporting on submitted business.
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Zenith Private Wealth Counsel | Banking and Financial Services | 200 | $20M | Canada | FIS Global | FIS Protegent Trading Compliance | AML, Fraud and Compliance | 2016 | n/a |
In 2016 Zenith Private Wealth Counsel implemented FIS Protegent Trading Compliance in the AML, Fraud and Compliance category to centralize surveillance and compliance controls across its wealth management operations. The deployment targeted the firm’s compliance and trading oversight functions within a 200 employee Canadian private wealth firm, with explicit usage notes referencing queued social media content from the company Facebook account on SunGard’s Protegent system.
The implementation configured core capabilities consistent with trading compliance solutions, including trade surveillance workflows, exception identification and case management, regulatory reporting feeds, and immutable audit trails. FIS Protegent Trading Compliance was specified for rule configuration and automated alerting, with workstreams established for analyst review, escalation to compliance officers, and documented resolution tracking.
Operational coverage extended to compliance, trading desk oversight, and marketing controls where social media content required monitoring, as evidenced by queued posts on SunGard’s Protegent system. Integrations focused on ingesting transactional and communications signals into the compliance workflow, and the platform was used to capture and queue Facebook content for review and archival alongside trade surveillance outputs.
Governance changes emphasized formalized exception handling procedures, retention of auditable case records, and staged rollout to compliance users responsible for review and escalation. Configuration and operational policies were aligned to preserve chain of custody for alerts and social media records, supporting routine compliance operations without referencing prior system names.
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Buyer Intent: Companies Evaluating FIS Protegent Trading Compliance
ARTW Buyer Intent uncovers actionable customer signals, identifying software buyers actively evaluating FIS Protegent Trading Compliance. Gain ongoing access to real-time prospects and uncover hidden opportunities. Companies Actively Evaluating FIS Protegent Trading Compliance for AML, Fraud and Compliance include:
- Truist, a United States based Banking and Financial Services organization with 38062 Employees
- Raymond James & Associates, a United States based Banking and Financial Services company with 19000 Employees
- Acadian Asset Management, a United States based Banking and Financial Services organization with 88 Employees
Discover Software Buyers actively Evaluating Enterprise Applications
| Logo | Company | Industry | Employees | Revenue | Country | Evaluated | ||
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FAQ - APPS RUN THE WORLD FIS Protegent Trading Compliance Coverage
FIS Protegent Trading Compliance is a AML, Fraud and Compliance solution from FIS Global.
Companies worldwide use FIS Protegent Trading Compliance, from small firms to large enterprises across 21+ industries.
Organizations such as Transamerica Asset Management, Scotiabank and Zenith Private Wealth Counsel are recorded users of
FIS Protegent Trading Compliance for AML, Fraud and Compliance.
Companies using FIS Protegent Trading Compliance are most concentrated in Banking and Financial Services, with adoption spanning over 21 industries.
Companies using FIS Protegent Trading Compliance are most concentrated in United States and Canada, with adoption tracked across 195 countries worldwide. This global distribution highlights the popularity of FIS Protegent Trading Compliance across Americas, EMEA, and APAC.
Companies using FIS Protegent Trading Compliance range from small businesses with 0-100 employees - 0%, to mid-sized firms with 101-1,000 employees - 33.33%, large organizations with 1,001-10,000 employees - 33.33%, and global enterprises with 10,000+ employees - 33.33%.
Customers of FIS Protegent Trading Compliance include firms across all revenue levels — from $0-100M, to $101M-$1B, $1B-$10B, and $10B+ global corporations.
Contact APPS RUN THE WORLD to access the full verified FIS Protegent Trading Compliance customer database with detailed Firmographics such as industry, geography, revenue, and employee breakdowns as well as key decision makers in charge of AML, Fraud and Compliance.