A fully managed agency lending program for brokerage firms, with robust trade execution, operational support, collateral management, reporting and compliance.
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Systems managing the lending and borrowing of securities, including collateral management, fee calculations, and position tracking.
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Automated Trade Matching System automatically matches loan requests with offers, reducing manual intervention. |
As a managed agency lending platform for brokerage firms, automated trade matching is a standard capability in the industry for operational efficiency. | |
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Partial Fill Support Ability to partially fulfill lending/borrowing requests if full quantity unavailable. |
Partial fills are industry standard in large-scale agency lending platforms, and supporting partial borrow/lend requests is essential for operational scale. | |
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Multi-Asset Class Support Handles securities across equities, fixed income, ETFs, etc. |
Described as robust and for brokerage firms, which typically require support for multiple asset classes including equities and fixed income. | |
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Real-Time Trade Booking Enables instant booking and confirmation of trades. |
Real-time trading and booking is a core operational need for institutional agency lending; major banks like Citi provide this as industry baseline. | |
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Trade Amendments Ability to modify trade details post-execution under controlled processes. |
Trade amendments under controlled workflow are standard in managed agency lending platforms. | |
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Bulk Upload/Processing Supports batch entry and processing of multiple trade instructions. |
Bulk upload and processing are fundamental for operational support in large agency lending with multiple counterparties. | |
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Trade Status Tracking Monitor the complete lifecycle/status of trades in real-time. |
Trade status tracking is referenced in marketing content as robust lifecycle management and reporting. | |
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Execution Speed Time to execute and confirm a trade between counterparties. |
No information available | |
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Locked-In Trades Prevents unintentional modifications/cancelling after trade confirmation. |
Large agency programs emphasize secure booking and prevent tampering post-trade; locked-in status management is standard. | |
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Fail Management Automated tracking and management of failed trades and recalls. |
Automated fails management is standard in agency lending, highlighted in major bank offerings for operational integrity. | |
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Trade Capacity Total number of trades that can be handled per day. |
No information available |
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Eligible Collateral Types Ability to define and manage a list of accepted collateral types and criteria. |
Collateral management is a core part of described offering; defining eligible collateral types is necessary for automated agency programs. | |
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Collateral Valuation Frequency How often collateral valuations are updated for margin adequacy. |
No information available | |
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Haircut Management Configurable haircuts by asset/counterparty for risk mitigation. |
Configurable haircuts are industry standard for risk mitigation in agency lending. | |
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Margin Call Automation System generates margin calls automatically based on shortfalls. |
Margin call automation is an industry requirement for managed agency programs by large custodians. | |
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Collateral Substitution Allows counterparties to substitute collateral in live contracts. |
Collateral substitution is a routine feature for live loan management with institutional participants. | |
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Eligibility Check Speed Average time to check eligibility of a proposed collateral. |
No information available | |
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Collateral Pooling Ability to pool and allocate collateral from multiple sources. |
Pooling and allocation from multiple sources is core to custody-based agency lending. | |
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Collateral Shortfall Alerts Sends automated alerts for under-collateralization. |
Collateral shortfall alerts are a basic operational feature in custody/agency platforms. | |
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Collateral Inventory Management Monitors and reports the current collateral held and available. |
Collateral inventory management is cited in marketing collateral as part of robust operational support. | |
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Support for Triparty Collateral Integration with triparty agents and corresponding workflows. |
Triparty collateral integration is standard for leading global banks' securities lending platforms. | |
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Collateral Reporting Frequency Number of collateral status/valuation reports generated per day. |
No information available |
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Counterparty Exposure Limits Ability to set and monitor exposure per counterparty in real time. |
Counterparty exposure limits are fundamental for risk management, especially for institutional participants. | |
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Concentration Risk Monitoring Tracks exposure by security, sector, or issuer for concentration limits. |
Concentration risk monitoring is standard in agency lending given regulatory and operational best practice requirements. | |
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Settlement Risk Analysis Tools to evaluate and monitor potential failures/settlement delays. |
Settlement risk tools are industry standard for agency lending operations at top tier banks. | |
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Automated Breach Alerts Real-time notification when pre-set exposure or risk thresholds are breached. |
Automated breach alerts are a standard feature for operational and compliance controls. | |
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Dynamic Limit Adjustment Automatically adjusts limits based on pre-defined rules or conditions. |
No information available | |
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Value at Risk (VaR) Calculation Built-in VaR tools specifically for lending/borrowing exposures. |
VaR is a common built-in tool for risk management departments in agency lending. | |
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Stress Testing Capability Runs scenario analysis to test positions against market stress. |
Stress testing is required for risk teams to assess portfolio behaviour in agency lending. | |
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Risk Reporting Frequency How frequently risk reports are produced and distributed. |
No information available | |
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Automated Recall Risk Assessment Proactively assesses and alerts to ongoing recall risks. |
Automated recall risk assessment is standard in mature agency lending operations for proactive management. | |
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Maximum Exposure Capacity Maximum allowed exposure to any single counterparty. |
No information available |
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Dividend Processing Automated recognition and payment/allocation of dividends for loaned securities. |
Dividend processing is mentioned in reference materials and is a standard requirement for lent securities. | |
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Tax Withholding/Adjustment Calculates and implements withholding tax adjustments where applicable. |
Tax adjustment and withholding for dividends is basic functionality for international securities lending. | |
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Mandatory/Voluntary Actions Support Differentiates and processes both mandatory (splits) and voluntary (rights) actions. |
Differentiation of corporate actions is necessary and supported in agent lending platforms. | |
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Recall Automation for Corporate Actions Automated recalls triggered by upcoming corporate actions that affect lent securities. |
Recall automation is required for compliance with corporate actions and proxy voting. | |
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Event Notification Speed Time taken from announcement to notification of impacted positions. |
No information available | |
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Claims Management Tracks and manages claims arising from missed corporate actions. |
Claims workflow is noted as a capability in operational support descriptions. | |
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Proxy Voting Support Functionality for recalling securities to support proxy voting rights. |
Proxy voting and recall is a standard offering from major agency lending agents. | |
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Action Instruction Cut-Off Handling Automated enforcement of instruction deadlines for voluntary events. |
No information available | |
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Reconciliation of Entitlements Ensures correct entitlements post-corporate action event. |
Reconciliation of entitlements is a compliance and accuracy requirement in corporate actions. | |
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Reporting on Corporate Actions Generation of detailed reports on actions affecting loans/borrows. |
Detailed reports on corporate actions affecting loans are offered as part of operational support. |
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Automated Settlement Instructions (SWIFT) Generation and transmission of standardized settlement messages for cash/securities movements. |
No information available | |
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Real-Time Settlement Monitoring Display and status updates of settlement progress in real-time. |
Real-time settlement monitoring is a necessary tool for operational oversight in agency lending. | |
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Settlement Matching Rate Percentage of trades settled without manual intervention. |
No information available | |
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Fails Tracking/Resolution Automated detection and facilitation of resolution for failed settlements. |
Fails tracking and resolution are noted in the platform's robust operational support offering. | |
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Cash Movement Integration Ability to automatically execute and record cash settlements. |
Automated cash movement is integrated into bank-operated securities lending solutions. | |
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Automated Reconciliation System automatically matches internal records with external confirmations/statements. |
Automated reconciliation is part of the operational and compliance backbone at major custodians. | |
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Exception Management Workflow Structured workflow for investigating and resolving unmatched items. |
Exception management is available as part of resolving unmatched items and discrepancies in operational flows. | |
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Settlement Timeliness Average settlement cycle time after trade agreement. |
No information available | |
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Multi-Currency Support Settlement and reconciliation across various currencies. |
Multiple currency support is expected in global custody and agency platforms. Citi operates across dozens of markets. | |
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Central Counterparty (CCP) Connectivity Integration with CCPs for clearing and settling eligible trades. |
CCP integration is a standard for direct clearing and efficient processing in institutional lending. |
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Automated Fee Calculation Calculation of lending fees, rebates, and revenue based on contracts. |
Automated fee calculation is part of lending contract management and operational support promised by the program. | |
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Multi-Tiered Pricing Support Fee schedules can vary by client, asset, size, or other criteria. |
Multi-tiered pricing is necessary for servicing large brokerage clients with varying business profiles. | |
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Revenue Attribution Allocation of earned revenue to relevant business units or clients. |
Revenue attribution is required for the client-centric reporting and internal management. | |
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Daily/Monthly Accruals Calculation Automatic accruals of fees and rebates on a scheduled basis. |
Automatic daily/monthly accruals are standard for agency fee management. | |
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Invoice Generation Capability to generate and send detailed invoices for counterparties. |
Invoice generation is a client requirement, referenced in operational documentations and program descriptions. | |
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Tax Calculation Integration Automated calculation of applicable taxes on earned fees. |
No information available | |
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Retrocession/Revenue Sharing Support Handles sharing of revenues with originators or third parties. |
Retrocession and revenue sharing is standard with institutional clients and originators. | |
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Dispute Management Workflow for reviewing and resolving fee/revenue disputes. |
Dispute workflows are referenced in operational support topics for Citi and other major agents. | |
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Revenue Reporting Frequency How frequently detailed revenue/fee reports are produced. |
No information available | |
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Exception Handling Automated detection and flagging of unusual fee scenarios. |
Exception handling to detect fee calculation irregularities is a compliance and operational control. |
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Self-Service Trade Entry Clients can directly enter, modify, or cancel requests in the portal. |
Client portals with self-service trade entry are a feature in agency lending for broker-dealers and institutional clients. | |
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Real-Time Position Inquiry Clients can view current and historical loan/borrow positions instantly. |
Real-time position inquiry is necessary for operational transparency for client-facing solutions. | |
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Downloadable Reports Ability for clients to download standard or custom reports. |
Downloadable reports are referenced in product information as part of client reporting capabilities. | |
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Secure Messaging In-platform two-way communication channels for support and queries. |
Secure messaging features are a requirement for client communication in financial service portals. | |
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Notifications and Alerts Automated notification emails or alerts for key events. |
Notifications and alerts are a key offering in client and operational support documentation. | |
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Customizable Dashboard Clients can configure dashboard widgets to see relevant information at a glance. |
No information available | |
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API Availability APIs are provided for programmatic access to data and workflows. |
APIs are offered by major banks for client and vendor integration. | |
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Multi-Language Support Portal is available in multiple languages. |
No information available | |
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User Access Controls Granular permissions for different roles within client organizations. |
User access controls are present in institutional-grade service platforms. | |
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Response Time Average query or report delivery time via the portal. |
No information available |
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Configurable Standard Reports Offers a suite of pre-defined reporting templates and views. |
Pre-defined reporting templates and configurability is expected in all large bank agency lending programs. | |
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Custom Report Builder Allows users to create bespoke reports with tailored fields and filters. |
No information available | |
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Real-Time Trade Analytics Dashboard of live statistics (e.g., volumes, rates, counterparties). |
Real-time analytics dashboards are referenced in client reporting descriptions for large-scale agency lending. | |
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Historical Data Access Span Depth of data archive available for reports and analysis. |
No information available | |
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Scheduled Report Distribution Automated emailing or delivery of scheduled reports to users. |
Scheduled reporting and automated delivery to users is mentioned in the operational support. | |
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Ad-hoc Query Capability Supports direct database queries for non-standard data needs. |
No information available | |
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Data Visualization Tools Built-in charts, graphs, and dashboards for summarizing information. |
Data visualization and dashboards are highlighted in user-facing product information. | |
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Regulatory Reporting Templates Ready-made templates for SFTR, Dodd-Frank, and other regimes. |
Regulatory reporting templates (e.g., SFTR) are a mandatory requirement in any large agent lender platform. | |
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Data Export Formats Supported export formats for reports (Excel, CSV, PDF, JSON, etc.). |
Multiple data export formats (Excel, CSV, PDF) are referenced in reporting platform overviews. | |
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Report Generation Speed Average time taken to generate a large standard report. |
No information available |
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FIX Protocol Support Supports integration via the FIX (Financial Information Exchange) protocol for trading messages. |
FIX connectivity is a baseline requirement for interfacing with institutional clients and market participants. | |
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SWIFT Messaging Integration Ability to send/receive SWIFT messages for settlements and instructions. |
SWIFT messaging is integral for settlement at scale and by institutional banks. | |
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Third-Party Market Data Feeds Integrates with external market data providers for pricing, rates, etc. |
Third-party data integration (market data, pricing, rates) is referenced in typical major bank agency lending support. | |
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API Integration Rich APIs for integration with other front-to-back office systems. |
API integration with external systems is a referenced feature for institutional solutions. | |
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Regulatory Submission Integration Direct connection for reporting to regulatory authorities (e.g., SFTR, EMIR). |
Direct regulatory submissions and interfaces (e.g., SFTR) are part of compliance support in major agency programs. | |
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OMS/EMS Connectivity Connects with order or execution management systems for straight-through processing. |
OMS/EMS connectivity is critical for straight-through processing in agency lending platforms. | |
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Single Sign-On (SSO) SSO capability for streamlined user authentication across enterprise systems. |
Single sign-on is a featured security and convenience capability in large enterprise platforms like Citi's. | |
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Portfolio Management System Integration Supports data exchange with portfolio/asset management tools. |
Portfolio management integration is routinely cited for data sharing with clients' internal systems. | |
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Settlement Network Integration Connectivity to major settlement networks and CCPs. |
Settlement network integration is compulsory for trade flow in global agency lending. | |
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Integration Speed Average time required to onboard a new integration (estimation). |
No information available |
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Regulatory Reporting Automation Automated generation and submission of regulatory reports (e.g., SFTR, Dodd-Frank). |
Automated regulatory reporting (SFTR, Dodd-Frank, etc.) is highlighted as managed service in the program. | |
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Audit Trail Capability Comprehensive records of all system activity, changes, and user actions. |
Audit trail capability and system-level change logging is a critical compliance feature in bank platforms. | |
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User Access Logs Detailed logs of user access and activity for compliance review. |
User access logging is required for compliance review and risk management. | |
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Rule-Based Blocking Automatically blocks forbidden trades or exposures based on compliance rules. |
Rule-based blocking is an operational compliance barrier expected in all large platforms. | |
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Customizable Compliance Rules Engine Supports custom compliance requirements with business logic enforcement. |
Custom compliance rules engine is cited in references to robust compliance and business logic controls. | |
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KYC/AML Integration Links with KYC (Know Your Customer) and anti-money laundering checks. |
KYC/AML integration is compulsory in securities lending with custodial agents. | |
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Retention Period Customization Configurable-length for storage/archiving of records and reports. |
No information available | |
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Sensitive Data Masking Protective masking of confidential information for non-privileged users. |
Sensitive data masking is required for privacy and least privilege access in operational banking platforms. | |
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Regulator Interface Provides direct access for regulator review (read-only or with approval). |
No information available | |
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Compliance Dashboard Overview of regulatory obligations, submissions, and status. |
Compliance dashboards are referenced in client and internal reporting features. |
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Data Encryption at Rest All stored data is encrypted following industry standards. |
Data encryption at rest is a mandatory requirement in operational models for large custodians. | |
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Data Encryption in Transit All network communications secured with encryption. |
All network communications are encrypted as a standard, particularly in regulated financial products at scale. | |
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Uptime SLA Guaranteed service uptime as per service-level agreement. |
No information available | |
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Disaster Recovery Capability Comprehensive disaster recovery and business continuity processes. |
Comprehensive disaster recovery policies are a must for large-scale financial platforms, especially at global banks. | |
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24x7 Technical Support Round-the-clock technical support services available. |
24x7 technical support is referenced in managed/fully supported agency lending descriptions. | |
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Penetration Testing Frequency Number of scheduled penetration tests conducted per year. |
No information available | |
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User Role Segregation Granular user roles limit access based on need and responsibility. |
User role segregation is a feature for operational, legal, and compliance controls in Citi enterprise products. | |
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Two-Factor Authentication (2FA) Enhanced user authentication via 2FA for all sensitive operations. |
2FA is cited as standard bank-grade security in all external-facing applications. | |
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Incident Response Time Average time to acknowledge and initiate a response to an incident. |
No information available | |
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System Audit Logging Comprehensive logs of system events, configuration changes, and security-relevant actions. |
System audit logging is a standard part of enterprise security and compliance for bank platforms. |
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