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

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

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Marion, IA (PRWEB) December 11, 2012

Berthel Fisher & Company Financial Services, Inc. (Berthel Fisher), a broker–dealer founded and headquartered in Iowa since 1985, has gone live with SunGard’s 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. SunGard’s 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, “SunGard’s 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 SunGard’s Protegent business unit, said, “Advisors need to be able to reach their clients wherever they are, including on social networks and the web. SunGard’s 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 SunGard’s 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. Protegent’s 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 world’s 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.

© SunGard 2012. All rights reserved.


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