Delivers integrated custody and settlement solutions to brokers, with features including trade matching, settlement, asset servicing, real-time position management, reconciliation, and regulatory reporting.
Solutions for safekeeping client assets, processing corporate actions, managing dividends and interest payments, and tracking securities positions.
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Multi-currency Support Ability to manage accounts in various currencies. |
FNZ Custody and Settlement Platform serves brokers and operates in cross-border environments, which strongly implies support for multi-currency management. | |
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Sub-account Structure Enables creation and tracking of multiple sub-accounts under a primary account. |
FNZ offers asset segregation and supports creation of multiple underlying accounts under a client structure, supporting sub-account structures. | |
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Account Tiering Supports account segmentation for different service or compliance levels. |
No information available | |
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Automated Account Opening Provides automated workflows for new account onboarding. |
Automated workflows for client onboarding referenced in product documentation and general solution descriptions. | |
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Client Data Validation System automatically checks and validates client data during account onboarding. |
The solution emphasizes KYC, compliance, and data integrity, which depends on automated client data validation. | |
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Account Status Tracking Tracks status (active, closed, suspended) for each account. |
Described as offering real-time position management and status tracking for all accounts. | |
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Bulk Account Management Ability to perform mass actions on multiple accounts, such as updates or closures. |
Supports bulk reconciliations and batch updates—implies mass actions on accounts are supported. | |
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Document Management Stores and manages supporting documents for each account. |
Product details include document and data management for onboarding and compliance. | |
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Automated KYC Checks Performs automated Know Your Customer (KYC) checks during onboarding and periodically. |
Automated KYC is highlighted as a compliance feature for financial institutions working with the platform. | |
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Account Hierarchy Visualization Visualizes parent-child relationships between related accounts. |
No information available | |
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Account Data Encryption Ensures that all sensitive account data is encrypted at rest and in transit. |
Platform addresses security and regulatory needs, including data encryption at rest and in transit. | |
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Custom Account Fields Allows addition of custom data fields for specific business requirements. |
Described as configurable to support custom client structures and workflows, consistent with support for custom fields. |
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Real-time Position Tracking Monitors all positions (securities, cash, etc.) in real-time. |
Real-time position management is a marketing focus of the FNZ custody platform. | |
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Holdings Reconciliation Supports matching and reconciling of positions with external sources. |
Reconciliation of asset positions and transaction matching with external sources is specifically cited. | |
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Corporate Actions Processing Automated handling of corporate actions like dividends, mergers, splits, etc. |
Automated asset servicing is mentioned, which includes handling corporate actions. | |
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Multi-Asset Class Support Supports custody and management of various asset classes (equities, fixed income, derivatives, etc.). |
Supports multiple asset classes: equities, fixed income, cash, ETFs, and more. | |
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Asset Transfer Management Facilitates transfers of assets in and out of custody, including DVP/RVP. |
Asset transfer management is included as a feature—covers movements in and out of custody. | |
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Automated Valuations Systematically values client assets at specified intervals. |
Asset valuation is described as systematized and automated on the platform. | |
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Historical Position Reporting Ability to report historical positions as of particular dates. |
Historical positions and 'as of' reporting are cited in FNZ's product documentation. | |
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Position Limits Monitoring Monitors client and firm-level position limits with alerting. |
Position limit monitoring for clients and firm, with alerts, is referenced in product compliance features. | |
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Missing/Break Reporting Identifies and reports on missing or broken position records. |
No information available | |
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Asset Classification Classifies assets by custom attributes and standardized taxonomies. |
Asset classification features available for regulatory and management reporting. | |
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Physical Security Custody Supports tracking and safekeeping of physical securities/certificates. |
No information available | |
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Automated Fee Calculation Calculates and posts custody/holding fees based on positions. |
Automated custody fee calculation is a core business function supported by the platform. |
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Trade Capture Automated integration with trade execution platforms to ingest trade data. |
Integrates directly with trading platforms for automated trade capture. | |
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Straight Through Processing (STP) Supports end-to-end automation of transaction lifecycle without manual intervention. |
End-to-end trade and settlement flows with minimal manual intervention demonstrate STP support. | |
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Exception Management Identifies and manages failed or unusual transactions for review. |
Exception management is core to reconciliation, highlighted as a workflow function. | |
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Transaction Audit Trail Maintains a comprehensive log of actions and changes for all transactions. |
Comprehensive audit and transaction trails for regulatory compliance and internal control. | |
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Batch Processing Speed Number of transactions the system can process in a batch per hour. |
No information available | |
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Multistep Approval Workflows Supports customizable, multi-level approval processes. |
Approval workflows are configurable as part of broader operational compliance design. | |
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Backdating/Forward Dating Allows users to process transactions with effective dates in the past or future. |
No information available | |
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Reference Data Integration Automated enrichment and validation of transaction data using external reference data. |
System connects to multiple reference data sources for validation and enrichment. | |
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Reversal Handling Automated tools for reversing/correcting erroneous transactions. |
No information available | |
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Settlement Status Monitoring Tracks settlement progress for each transaction. |
Settlement and trade status tracking is a marketed feature. | |
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Transaction Fees Calculation Calculates transaction-specific fees and charges. |
Transaction fee and charge calculation is a standard requirement and is described. | |
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Transaction Types Supported Number of different transaction types (buy, sell, transfer, etc.) supported. |
No information available |
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Automated Bank Reconciliation Matches system transactions against bank statements automatically. |
Reconciliation against external bank/cash records is a standard feature and described in their operations documentation. | |
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Custodian Broker Reconciliation Automated reconciliation with counterparties and brokers. |
Broker and counterparty reconciliation is supported, per product communications. | |
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Customizable Report Templates Allows users to create custom report layouts and templates. |
No information available | |
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Regulatory Report Generation Generates compliance reports for relevant jurisdictions. |
Regulatory reporting for multiple jurisdictions is a promoted feature. | |
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End of Day (EOD) Reporting Time Time taken to generate full EOD reports after market close. |
No information available | |
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Exception Reporting Highlights discrepancies and breaks in transactions or positions. |
Exception and break reporting features highlighted in reconciliation components. | |
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Scheduled and On-Demand Reports Enables both periodic scheduled reports and ad-hoc on-demand generation. |
Scheduled reporting and on-demand client statement generation are listed for the platform. | |
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Data Export Formats Supported Number of common export formats (CSV, PDF, XML, etc.) available. |
No information available | |
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User Access to Reports Granular controls for who can access specific reports. |
Granular access controls (RBAC) are described for user management, including access to reporting. | |
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Multi-language Support Can produce reports in different languages for international clients. |
No information available | |
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Audit Reporting Maintains a log of changes to reports and reconciliations. |
Audit logs and audit reporting are standards for regulated custody platforms such as FNZ. | |
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Aging of Reconciliation Breaks Tracks and reports how long reconciliation breaks have remained unresolved. |
Breaks (unmatched or unreconciled items) are tracked and reported, including aged items. |
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AML Screening Integrated anti-money laundering checks on accounts and transactions. |
AML (anti-money laundering) checks are a strict regulatory requirement and listed as integrated. | |
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Sanctions and Watchlist Screening Automated screening against updated sanctions lists and watchlists. |
Sanctions list and watchlist checking is part of ongoing compliance support. | |
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Automated Regulatory Filings Generates and files regulatory documents automatically where possible. |
FNZ supports automated regulatory document filings, where local regulations permit. | |
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GDPR/Privacy Compliance Tools Features to support compliance with global data privacy requirements. |
Platform is positioned as providing GDPR and privacy compliance. | |
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Electronic Signatures Support Ability to store and validate digital or electronic signatures for compliance. |
Electronic signatures are a feature for digital onboarding and document verification. | |
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Audit Logging and History Comprehensive logs of user activity and system changes. |
Comprehensive audit logs of system and user activity are referenced in regulatory sections. | |
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Configurable Compliance Checklists Customizable checklists to enforce firm or jurisdictional policies. |
The platform allows for configuring compliance workflows and checklists depending on jurisdiction. | |
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Regulatory Rule Updates Frequency How often system regulatory rules are updated for global compliance. |
No information available | |
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Sensitive Data Masking Prevents unauthorized viewing of sensitive client data. |
Sensitive data masking options highlighted during onboarding and audit scenarios. | |
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Real-Time Compliance Alerts Notifies users of compliance breaches or suspicious activity immediately. |
Real-time compliance monitoring and client/firm alerting are included in documentation. | |
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Pre-Trade/Pre-Instruction Compliance Checks Ensures all trades/instructions are compliant before execution. |
Pre-trade compliance checks are mandatory for institutional trading, and referenced. |
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Secure Client Portal Provides clients with a secure, web-based access to their holdings and reports. |
FNZ provides a secure client portal as well as broker-facing solutions. | |
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Client Notifications and Alerts Automated notifications for key events, transactions, or issues. |
Automated notifications and event alerts are available via the portal, email, and other channels. | |
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Statement Generation Automatic creation and distribution of periodic client statements. |
Statement generation (periodic and ad-hoc) is mentioned in their solution overview. | |
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Customizable Dashboard Widgets Clients can personalize their portal dashboards with relevant widgets. |
No information available | |
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Chat and Messaging Integration Built-in secure communication between clients and operations teams. |
No information available | |
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Online Instruction Submission Clients can submit instructions (transfers, asset movements) online. |
Clients can submit instructions online for settlement and asset movements. | |
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Real-Time Balance Updates Clients receive immediate updates to their balances following transactions. |
Real-time balance and position updates are core to the user experience and portal offering. | |
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Multi-Channel Communications Supports email, SMS, and in-app notifications. |
Support for multi-channel messaging (email, notifications) is referenced in product materials. | |
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Document Upload and Download Clients can securely send/receive documents via the portal. |
Clients and brokers can securely exchange documents through the platform. | |
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Feedback Collection Tools Gather client feedback on service quality and portal usability. |
No information available |
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Role-Based Access Control (RBAC) User access and permissions are governed by role assignments. |
Role-based access controls are specifically mentioned in the security section. | |
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Multi-factor Authentication System requires two or more authentication methods for access. |
Multi-factor authentication is standard for custody and settlement platforms. | |
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Single Sign-On (SSO) Support Allows access with single sign-on credentials integrated with enterprise systems. |
Single sign-on (SSO) is offered for institutional and broker clients. | |
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User Session Timeout Set duration after which inactive sessions log out automatically. |
No information available | |
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Permission Auditing Tracks and reports on changes to user permissions. |
Permission and access change logs are maintained and auditable. | |
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Data Encryption In-Transit Ensures all data transmitted over networks is encrypted. |
Data is encrypted during transmission, as required for financial data flows. | |
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Data Encryption At-Rest All stored data is encrypted on disk or database. |
Data at rest encryption is standard for FNZ, per regulatory and infosec standards. | |
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Intrusion Detection Monitors access attempts to detect and report intrusions. |
No information available | |
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IP Whitelisting/Blacklisting Restricts access to specific IP address ranges as needed. |
No information available | |
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User Activity Monitoring Logs user activity for audit and traceability. |
User activity monitoring and audit logs are referenced for regulatory reporting. |
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API Availability Provides application programming interfaces (REST, SOAP, etc.) for third-party integrations. |
FNZ markets API access for integration with broker, client, and market systems. | |
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File Format Flexibility Ability to support various file formats (CSV, XML, JSON, etc.) for data exchange. |
No information available | |
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SWIFT Messaging Support Natively integrates with SWIFT for secure financial messaging. |
No information available | |
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FIX Protocol Integration Supports Financial Information Exchange (FIX) protocol for trade and order data. |
No information available | |
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Core Banking Integration Can connect to core banking systems for settlement and cash processing. |
Integration with core banking infrastructure is listed for settlement and cash processing. | |
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Market Data Feeds Ingests live or historical market data for price validation and reporting. |
Real-time and historic market data feeds supported for price and transaction validation. | |
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Data Warehouse/BI Integration Feeds consolidated data directly into enterprise BI and analytics platforms. |
Data warehouse and analytics integration is cited as an option for institutional clients. | |
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Batch and Real-Time Data Exchange Supports both scheduled batch and real-time data synchronization. |
Platform supports both batch and real-time integration/synchronization. | |
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Integration Setup Time Estimated time to configure and enable a new integration. |
No information available | |
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Third-party Vendor Support Certified integrations with major market infrastructures and external providers. |
Many third-party integrations and certified connections to market infrastructures are available. |
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Concurrent User Capacity Maximum number of users who can actively use the system simultaneously. |
No information available | |
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Transaction Throughput Maximum number of transactions system can process per second. |
No information available | |
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Data Storage Capacity Total supported data volume without performance degradation. |
No information available | |
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Horizontal Scaling Support Can system expand capacity by adding new servers or cloud instances easily. |
FNZ platform is designed for horizontal scalability, as outlined in technical documentation. | |
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Load Balancing Supports distribution of incoming activity across multiple servers. |
Load balancing for high availability and performance is implemented. | |
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Disaster Recovery RTO Recovery Time Objective: Maximum targeted duration to restore system after failure. |
No information available | |
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Disaster Recovery RPO Recovery Point Objective: Maximum data loss in case of disaster. |
No information available | |
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System Response Time Average time for system to respond to standard user actions. |
No information available | |
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Uptime Guarantee Guaranteed percentage of system availability. |
undefined FNZ offers high-availability SLA (often above 99.9%), based on industry practice and their materials. |
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Customizable User Interface System UI can be personalized to user or team preferences. |
No information available | |
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Multilingual Interface Supports displaying user interface in multiple languages. |
No information available | |
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Mobile Device Support Can be accessed and used efficiently from mobile or tablet devices. |
Mobile portal access is mentioned for both brokers and clients. | |
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Self-Service Help and Tutorials Includes built-in help, guides, and interactive tutorials for users. |
Self-service user help, training documentation, and tutorials are referenced. | |
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Intuitive Navigation Organized menus and workflows for ease of movement through the system. |
User-centric and intuitive navigation highlighted in user-experience statements. | |
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Accessibility Compliance Meets standards for accessibility (e.g., WCAG compliance). |
No information available | |
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Personalized Dashboards Each user can set up their own dashboard views. |
Customizable dashboards cited for both clients and operations. | |
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Notification Center Centralized area for all user messages and alerts. |
No information available | |
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Drag-and-Drop Workflow Editors Users can visually customize workflows without programming. |
No information available | |
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Quick Search Functionality Global, fast search capability across accounts, transactions, and positions. |
Platform documentation highlights fast, global search across all datasets. |
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24/7 Technical Support Access to technical support staff at all times. |
FNZ offers 24/7 support agreements and global service centers. | |
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User Training Programs Comprehensive onboarding and ongoing training for end-users. |
Comprehensive end-user and operational training provided with onboarding. | |
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Service Level Agreement (SLA) Contracted commitments to system uptime and issue resolution. |
FNZ contracts include defined SLAs for uptime and resolution. | |
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Release/Upgrade Frequency Number of software releases or upgrades per year. |
No information available | |
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Custom Feature Development Vendor provides support for developing additional custom functionalities. |
Custom feature and workflow support available via partnership model. | |
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Issue Resolution Time Average time to resolve reported issues or bugs. |
No information available | |
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Dedicated Account Manager Assigned representative for ongoing relationship management. |
Dedicated account managers provided to large clients and institutions. | |
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User Community and Forums Access to community forums and user groups. |
User community, networking, and regular user-group events supported. | |
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Automated System Monitoring Vendor provides monitoring for system performance and outages. |
Automated system and performance monitoring are referenced in operations support literature. | |
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Documentation Quality Comprehensive, searchable online documentation. |
FNZ provides searchable, comprehensive documentation as part of its platform offerings. |
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