Henderson Global Investors Monitors Employee Account Dealing with SunGard’s Protegent

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Henderson Global Investors, a global asset manager with over £74.4 billion assets under management, has selected SunGard’s Protegent Personal Trading Assistant (PTA) to help monitor employee personal dealing activity and help ensure compliance with internal codes of conduct and external regulatory requirements.

Henderson Global Investors, a global asset manager with over £74.4 billion assets under management, has selected SunGard’s Protegent Personal Trading Assistant (PTA) to help monitor employee personal dealing activity and help ensure compliance with internal codes of conduct and external regulatory requirements. SunGard’s Protegent PTA helps firms efficiently manage employee facing activities that may cause regulatory, financial and reputational risks. Henderson Global Investors uses Protegent PTA to help automate compliance with global personal trading regulatory guidelines outlined by the Financial Services Authority (FSA), Financial Industry Regulatory Authority (FINRA) and the U.S Securities and Exchange Commission (SEC).

Financial markets regulators are increasing mandates and guidelines for managing employee personal account dealing. Protegent PTA helps firms adhere to FSA, FINRA and SEC regulatory guidelines by providing end-to-end personal trading surveillance, from pre-clearance authorization to post-trade reconciliation and reporting. With Protegent PTA’s automated surveillance tools, multi-national firms like Henderson Global Investors can streamline employee surveillance workflow processes and gain visibility into employee activity across their global workforce.

Andrew Vasenden, compliance manager, Henderson Global Investors, said, “SunGard’s Protegent PTA’s automated surveillance capability helps us monitor employee personal dealing and manage internal code of conduct guidelines. We leverage Protegent’s global support and product teams to help increase firm-wide transparency and protect against potential financial and reputational risks.”

Steve Sabin, chief operating officer of SunGard’s Protegent business unit, said, “SunGard’s Protegent PTA helps multi-national customers, like Henderson Global Investments, improve visibility into employee account activity and reduce exposure to possible regulatory and operational risk exposure.”

About SunGard's Protegent
SunGard's Protegent solutions for compliance, suitability and new account opening help retail and institutional investment firms oversee business processes relating to compensation processing, client acquisition and suitability, including Know Your Customer and OFAC list checking, as well as employees' personal trading and code of ethics, while helping reduce expenses and address regulatory requirements. Protegent supports supervision and surveillance practice, helps streamline the compliance life cycle, proactively monitors trades and provides comprehensive auditing and reporting for financial institutions and companies that trade in energy and commodities markets.

About Henderson Global Investors
Established in 1934, Henderson Global Investors is a leading independent global asset management firm. The company provides its institutional, retail and high net-worth clients with access to skilled investment professionals representing a broad range of asset classes, including equities, fixed income, property and private capital. With its principal place of business in London, Henderson is one of Europe’s largest investment managers, with £74.4 billion assets under management and employed around 1,100 people worldwide (as at 30 June 2011).

About SunGard
SunGard is one of the world's leading software and technology services companies. SunGard has more than 20,000 employees and serves more than 25,000 customers in 70 countries. SunGard provides software and processing solutions for financial services, higher 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 $5 billion, SunGard is ranked 434 on the Fortune 500 and is the largest privately held business software and IT services company.

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.

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Adriana Senior
SunGard
718-578-1130
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