at Financial Technnology Year
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Protegent Surveillance from Protegent
A comprehensive compliance surveillance platform with audit trail capabilities. Features include trade monitoring, electronic communication review, advisor activity tracking, conflict detection, and detailed audit logs for all compliance activities and supervisory reviews.
Product analysis by function
Audit Trail Systems for Compliance and Risk Management
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
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Data Capture & Recordkeeping
(8 Yes /8 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
Product documentation and marketing highlight detailed audit logs tracking all types of client-advisor interactions, supporting comprehensive interaction logging. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Protegent emphasizes audit trails with exact records of entry and change timing, supporting automatic timestamping. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
System supports uploading and associating supporting documentation with compliance activities and audit entries. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Supervisor and advisor activity tracking with note fields, including version tracking according to documentation. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Platform maintains history of all changes, providing before/after states for all compliance records. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
Audit trail logs are designed to maintain compliance and integrity, and are immutable by policy and technical control. | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Bulk data migration and export capabilities mentioned for regulatory and internal purposes. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
Audit trails include storage of electronic communications (e.g., email and possibly voice), supporting multimedia storage. |
Search, Retrieval & Reporting
(8 Yes /8 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search filters for events, participants, and date ranges are a core product feature. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Reports can be customized and exported for compliance purposes, as shown in platform documentation. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Audit trail visualization and interactive activity timelines are included in the surveillance dashboard. | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Users can save and schedule standard compliance reports. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Access to audit data and reports is managed by user role—role-based access is a documented feature. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Bulk data extraction is mentioned for responding to regulatory inquiries. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
System supports keyword tagging and search for easier data retrieval. | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
Platform includes full-text search capability across documents and notes. |
Security & Access Control
(6 Yes /6 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
System provides secure user authentication and often supports multi-factor authentication per industry standard. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Granular control over user permissions is a highlighted capability of the platform. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Data at rest is encrypted; security datasheets confirm encryption at rest. | |
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Encryption in Transit Data is always encrypted during network transmission. |
System encrypts data in transit using standard protocols (SSL/TLS). | |
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Audit Log of Access Fully logs which users access which records and when. |
Audit log of data access is a core component for compliance and investigations. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Session timeout after inactivity is a standard included security measure. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
No information available | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
No information available | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
No information available | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(8 Yes /8 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
System includes pre-configured workflows and report templates for major regulations (e.g., SEC, FINRA). | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Custom policy and alert configurations are available per compliance team needs. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Compliance dashboards highlight readiness, tasks, and deficiencies. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
System updates processes or templates when regulations change. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Exception alerts are part of the continuous surveillance tools. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Compliance reports can be customized for firm, regional, and global requirements. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
No information available | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Central repository available for compliance documents, policies, and forms. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Retention rules can be automated based on jurisdiction and business policy. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(7 Yes /7 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
APIs are available for programmatic access to audit and surveillance data. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Connectors available for CRMs, portfolio management, email, and trading platforms. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Integration for the capture and monitoring of email communications is a documented feature. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Digital vault/e-signature system integrations are supported. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
Calendar and task integration mentioned for compliance follow-ups. | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
No information available | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
Mobile app access is supported either natively or via mobile web platform. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
No information available | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integration possible via API and support documentation. |
Scalability & Performance
(2 Yes /2 Known /10 Possible features)
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Failover and disaster recovery capabilities are mentioned for compliance reliability. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
No information available | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
No information available | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
Cloud-based system with scalable storage aligned to enterprise growth. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
No information available | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
No information available |
User Experience & Interface
(3 Yes /3 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
User interface is described as intuitive and purpose-built for compliance management. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
Customizable dashboard and view settings are available. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
No information available | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
No information available | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
UI is mobile responsive and works on various device types. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
No information available | |
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Theme Customization Selectable color schemes and branding for firm customization. |
No information available | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
No information available | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
No information available |
Notifications, Alerts & Workflow Automation
(5 Yes /5 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Custom alert rules can be configured for various compliance and event thresholds. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Tasks can be auto-assigned from audit findings or compliance issues. | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
Escalation notifications to management configured for unresolved or high-risk compliance events. | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
System supports calendar event creation/reminders tied to compliance review cycles. | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
No information available | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
No information available | |
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Approval Routing Routes audit records for multi-level review/approval. |
. | No information available |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Compliance personnel receive instant updates on status changes in audit records. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(5 Yes /5 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Forensic record lockdowns can be triggered during internal/external investigations. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
The platform includes behavioral analytics and anomaly flagging for surveillance. | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Audit trail functionality includes reconstruction of activity timelines for reviews. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
No information available | |
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Automated Sampling Generates random record samples for compliance spot checks. |
No information available | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Case management and investigation workflow features are included for compliance teams. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Audit evidence and document linking are available features. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
No information available | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
No information available | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
No information available |
Customization & Extensibility
(3 Yes /3 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
No information available | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
No information available | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
Custom scripts and business logic functions are supported for compliance automation. | |
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Custom Branding Upload logos, firm colors, and themes. |
Custom branding (logo and theme) is mentioned as part of implementation professional services. | |
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Localization Support Adapt layouts and content for global offices. |
No information available | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
No information available | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
. | No information available |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
No information available | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
. | No information available |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
Platform offers developer guides and documentation for integration/extensibility. |
Support, Training & Vendor Reliability
(7 Yes /7 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
Vendor offers 24/7 support for urgent compliance issues, as shown in support materials. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Implementation/onboarding assistance is explicitly marketed for new clients. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Extensive online knowledge base is offered for user self-support. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Live training sessions (regular and on-request) are part of client enablement. | |
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Certification Programs Official user or admin certification offered. |
No information available | |
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Multi-Language Support Support and help materials available in multiple languages. |
No information available | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Product release notes and roadmap visibility available to enterprise customers. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Vendor describes a formal process for outage communication for compliance-critical environments. | |
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Customer Success Manager Dedicated success representative for large accounts. |
Customer success managers assigned to large enterprise accounts, according to marketing materials. | |
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Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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