Protegent™ Surveillance (ProSurv)
SunGard Protegent™ Surveillance (“ProSurv”) is a compliance and surveillance application that organizes trades and captures the supervisor’s review and resolution actions. ProSurv’s web-based interface of summary reports and trade detail is arranged on a set of tabbed views. The reviewer uses the on-screen controls to record their review of trades.
ProSurv is offered in two configurations:
The Standard version, available at no cost to clients of RBC Clearing & Custody, includes the Trade Review module, which displays a Trade Blotter highlighting trades that have triggered one or more exception alerts and a drill-down capability to account details and the Account Daily module, which provides access to the Commission Velocity and Turnover exception alerts.
The Enhanced version, available to firms for a monthly per-FA fee, includes the Trade Review and Account Daily modules referenced above, as well as the ability to activate and set parameters for a more extensive suite of exception alerts in both the Trade Review and Account Daily modules; along with an Anti-Money Laundering (AML) module where specific alerts can be configured by the firm.