Warsaw Stock Exchange Selects SunGards Protegent and Valdi for Market Abuse Surveillance

Warsaw, Poland (PRWEB) September 24, 2012

The Warsaw Stock Exchange (WSE), the securities and commodities exchange mandated to organize and manage the trading of securities in Poland, has selected SunGards Protegent compliance solution and Valdi electronic trading tools for real-time surveillance and monitoring of trading activity on the exchange. Protegent and Valdi will help enhance the WSEs ability to supervise members connected to its trading platforms and help improve its capability to manage market-making activity as well as detect potential errant and suspicious trading patterns.

A customer of SunGards trading solutions for more than 10 years, the WSE will use SunGards Protegent market abuse solution to help enhance its analysis of specific market conditions and trigger alerts in real time, helping the WSE comply with the Market Abuse Directive, including European Securities and Markets Authoritys (ESMA) 2012/122 Guidelines Systems and controls in an automated trading environment and Regulation (EU) No. 236/2012 for Short Selling. In addition, Valdis flashback function will allow the WSE to analyze historical market situations by rebuilding the order book at any point in time, while its historical data will provide insight into trading patterns. Users will be able to analyze orders and trading patterns across individual or multiple asset classes and trading venues via graphical displays and a rules and reports library.

SunGards Valdi will give the WSEs surveillance teams a detailed, real-time view of market data and trading activity regardless of the connectivity tools used by WSE members.

Adam Maciejewski, member of the management board of the Warsaw Stock Exchange, said, Surveillance tools are an absolute requirement as stock exchanges around the world seek to ensure fair and orderly markets. The WSE selected SunGards Protegent because it is an efficient, proven and system-agnostic solution that complements our existing arsenal of market protection capabilities. Valdi will help the WSE improve our ability to monitor exchange trading activity and give our surveillance team enhanced access to real-time data, helping them identify trading patterns that might reveal market abuse.

Philippe Carr

Warsaw Stock Exchange Selects SunGards Protegent and Valdi for Market Abuse Surveillance

Berthel Fisher & Company Financial Services, Inc. Goes Live with SunGards Protegent for Social Media and Website Surveillance

Marion, IA (PRWEB) December 11, 2012

Berthel Fisher & Company Financial Services, Inc. (Berthel Fisher), a brokerdealer founded and headquartered in Iowa since 1985, has gone live with SunGards Protegent Social Media Surveillance for regulatory compliance and monitoring of its advisors online activity.

Financial firms use of social networking sites to promote their businesses can present significant risks if the content violates internal communication and regulatory policies. SunGards Protegent Social Media Surveillance helps firms archive, monitor, report and filter content posted on social networking sites like Facebook, LinkedIn and Twitter to help alleviate this risk.

Vicki Reighard-Kean, chief compliance officer at Berthel Fisher, said, SunGards strong track record in compliance solutions, as well as its ability to offer surveillance for both social media and websites, gives us confidence that we will be able to comply with the latest regulations.

Steve Sabin, chief operating officer of SunGards Protegent business unit, said, Advisors need to be able to reach their clients wherever they are, including on social networks and the web. SunGards Protegent provides tools to help broker dealers participate in those sites without creating regulatory and reputational risks.

About Berthel Fisher & Company Financial Services, Inc.

Berthel Fisher & Company Financial Services, Inc. (BFCFS), headquartered in Marion, Iowa, is a pioneer in the independent broker/dealer industry. BFCFS offers investment banking services and a full-range of investment products and investment advisory services to investors, as well as a complete line of insurance, banking, and lending services in all 50 states through 385 Representative offices. Berthel Fisher & Company Financial Services, Inc. is a subsidiary of Berthel Fisher & Company, a financial holding company. Berthel Fisher & Company owns Securities Management and Research, Inc. (SM&R) a broker/dealer with 300 Representatives as well as BFC Planning, Inc., a Registered Investment Advisor.

For more information about Berthel Fisher & Company Financial Services, Inc. visit http://www.berthel.com.

About SunGards Protegent

SunGard’s Protegent is a suite of solutions that help automate financial institutions compliance processes. It helps give financial institutions transparency into their data while helping them to enforce and document their compliance policies and procedures. Protegents solutions cover social media review, personal trading oversight, market abuse, Reg NMS, Order Audit Trail System (OATS), and transaction supervision and surveillance review. For more information, please visit http://www.sungard.com/protegent.

About SunGard

SunGard is one of the worlds leading software and technology services companies. SunGard has more than 17,000 employees and serves approximately 25,000 customers in more than 70 countries. SunGard provides software and processing solutions for financial services, education and the public sector. SunGard also provides disaster recovery services, managed IT services, information availability consulting services and business continuity management software. With annual revenue of about $ 4.5 billion, SunGard is the largest privately held software and services company and is ranked 480 on the Fortune 500. For more information, please visit http://www.sungard.com.

Trademark Information: SunGard, the SunGard logo and Protegent are trademarks or registered trademarks of SunGard Data Systems Inc. or its subsidiaries in the U.S. and other countries. All other trade names are trademarks or registered trademarks of their respective holders.

Berthel Fisher & Company Financial Services, Inc. Goes Live with SunGards Protegent for Social Media and Website Surveillance