Raymond James rolls out compliance platform

Raymond James Financial, a Florida-based diversified holdings company, is using SunGard's Protegent Surveillance in its traditional employee brokerage business to decentralise supervision at the branch level. It also uses Protegent within its independent contractor business, primarily to centralise supervision through its home office. According to SunGard, Protegent Surveillance is a compliance and surveillance platform for financial services institutions; it provides users with trade-based

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact [email protected] or view our subscription options here: http://subscriptions.waterstechnology.com/subscribe

You are currently unable to copy this content. Please contact [email protected] to find out more.

To continue reading...

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here: