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Securities Finance and Collateral Management from 4sight Financial Software

Securities lending solution with modules for trading, inventory management, collateral optimization, margin calculation, fee billing, position reconciliation, and regulatory reporting.

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Product analysis by function

Securities Lending Platforms for Operations

Systems managing the lending and borrowing of securities, including collateral management, fee calculations, and position tracking.
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Trade Execution and Management
(9 Yes /9 Known /11 Possible features)

Collateral Management
(8 Yes /8 Known /11 Possible features)

Risk Management and Limits
(7 Yes /7 Known /10 Possible features)

Corporate Actions Processing
(9 Yes /9 Known /10 Possible features)

Settlement and Reconciliation
(8 Yes /8 Known /10 Possible features)

Fee and Revenue Management
(9 Yes /9 Known /10 Possible features)

Client Portal and Communication
(8 Yes /8 Known /10 Possible features)

Reporting and Analytics
(8 Yes /8 Known /10 Possible features)

Integration and Interoperability
(9 Yes /9 Known /10 Possible features)

Compliance and Regulatory
(9 Yes /9 Known /10 Possible features)

Security, Reliability, and Support
(7 Yes /7 Known /10 Possible features)

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Automated Trade Matching System automatically matches loan requests with offers, reducing manual intervention.		As a trading platform, trade matching is expected; vendor material confirms reduction of manual processing.
Partial Fill Support Ability to partially fulfill lending/borrowing requests if full quantity unavailable.		Partial fill support is common in efficient lending/borrowing solutions. Platform advertises trade optimization and automatic inventory allocation.
Multi-Asset Class Support Handles securities across equities, fixed income, ETFs, etc.		Supports multiple asset classes: equities, fixed income, repos, as stated on 4sight website.
Real-Time Trade Booking Enables instant booking and confirmation of trades.		Real-time booking/confirmation indicated in the solution's real-time management claims.
Trade Amendments Ability to modify trade details post-execution under controlled processes.		Trade amendments are explicit in collateral and trade lifecycle management modules.
Bulk Upload/Processing Supports batch entry and processing of multiple trade instructions.		Bulk upload is present for positions and trade flows per product description.
Trade Status Tracking Monitor the complete lifecycle/status of trades in real-time.		Lifecycle/status tracking included in the product's monitoring and reconciliation modules.
Execution Speed Time to execute and confirm a trade between counterparties.		No information available
Locked-In Trades Prevents unintentional modifications/cancelling after trade confirmation.		Locked-in trades after confirmation referenced as part of trade workflow controls.
Fail Management Automated tracking and management of failed trades and recalls.		Fail management: Automated fail detection is cited in the operations module.
Trade Capacity Total number of trades that can be handled per day.		No information available

Eligible Collateral Types Ability to define and manage a list of accepted collateral types and criteria.		Eligible collateral types management is a core feature of collateral optimization.
Collateral Valuation Frequency How often collateral valuations are updated for margin adequacy.		No information available
Haircut Management Configurable haircuts by asset/counterparty for risk mitigation.		Haircut management supported; configurable per collateral/counterparty.
Margin Call Automation System generates margin calls automatically based on shortfalls.		Margin call automation included in solution features.
Collateral Substitution Allows counterparties to substitute collateral in live contracts.		Supports collateral substitution, per collateral lifecycle description.
Eligibility Check Speed Average time to check eligibility of a proposed collateral.		No information available
Collateral Pooling Ability to pool and allocate collateral from multiple sources.		Collateral pooling supported via optimization module.
Collateral Shortfall Alerts Sends automated alerts for under-collateralization.		Shortfall alerts mentioned among automated operational controls.
Collateral Inventory Management Monitors and reports the current collateral held and available.		Inventory management and reporting is a highlighted feature.
Support for Triparty Collateral Integration with triparty agents and corresponding workflows.		Triparty collateral integration/workflows supported as per website.
Collateral Reporting Frequency Number of collateral status/valuation reports generated per day.		No information available

Counterparty Exposure Limits Ability to set and monitor exposure per counterparty in real time.		Counterparty exposure limit setting included in risk/limits module.
Concentration Risk Monitoring Tracks exposure by security, sector, or issuer for concentration limits.		Concentration risk tools listed in risk analytics and limit monitoring.
Settlement Risk Analysis Tools to evaluate and monitor potential failures/settlement delays.		Settlement risk analysis is covered under settlement/reconciliation solution.
Automated Breach Alerts Real-time notification when pre-set exposure or risk thresholds are breached.		Automated breach alerts included in risk controls.
Dynamic Limit Adjustment Automatically adjusts limits based on pre-defined rules or conditions.		Dynamic adjustment of limits is supported per risk module description.
Value at Risk (VaR) Calculation Built-in VaR tools specifically for lending/borrowing exposures.		VaR tools for lending/borrowing exposures are listed among analytics.
Stress Testing Capability Runs scenario analysis to test positions against market stress.		Stress testing scenarios are listed in solution brochures.
Risk Reporting Frequency How frequently risk reports are produced and distributed.		No information available
Automated Recall Risk Assessment Proactively assesses and alerts to ongoing recall risks.		No information available
Maximum Exposure Capacity Maximum allowed exposure to any single counterparty.		No information available

Dividend Processing Automated recognition and payment/allocation of dividends for loaned securities.		Dividend processing for loaned securities is part of corporate actions workflow.
Tax Withholding/Adjustment Calculates and implements withholding tax adjustments where applicable.		Tax withholding and adjustments are mentioned under corporate actions processing.
Mandatory/Voluntary Actions Support Differentiates and processes both mandatory (splits) and voluntary (rights) actions.		Distinction of mandatory/voluntary events indicated in the platform.
Recall Automation for Corporate Actions Automated recalls triggered by upcoming corporate actions that affect lent securities.		Recall automation for corporate actions included in function list.
Event Notification Speed Time taken from announcement to notification of impacted positions.		No information available
Claims Management Tracks and manages claims arising from missed corporate actions.		Claims management appears as part of operational controls for missed actions.
Proxy Voting Support Functionality for recalling securities to support proxy voting rights.		Proxy voting support/recall is available as an explicit feature for asset owners.
Action Instruction Cut-Off Handling Automated enforcement of instruction deadlines for voluntary events.		Instruction cut-off management defined in voluntary corporate action processing.
Reconciliation of Entitlements Ensures correct entitlements post-corporate action event.		Reconciliation of entitlements included in post-corporate action workflow.
Reporting on Corporate Actions Generation of detailed reports on actions affecting loans/borrows.		Corporate action reporting is available for stakeholders.

Automated Settlement Instructions (SWIFT) Generation and transmission of standardized settlement messages for cash/securities movements.		Automated SWIFT settlement instruction support listed (ISO 15022/20022).
Real-Time Settlement Monitoring Display and status updates of settlement progress in real-time.		Real-time settlement status monitoring is part of the operational dashboard.
Settlement Matching Rate Percentage of trades settled without manual intervention.		No information available
Fails Tracking/Resolution Automated detection and facilitation of resolution for failed settlements.		Fails detection and workflow for resolution is incorporated.
Cash Movement Integration Ability to automatically execute and record cash settlements.		Cash settlement automation is supported for most instrument types.
Automated Reconciliation System automatically matches internal records with external confirmations/statements.		Automated reconciliation of internal/external records is described.
Exception Management Workflow Structured workflow for investigating and resolving unmatched items.		Exception management workflow is present for trade/settlement breaks.
Settlement Timeliness Average settlement cycle time after trade agreement.		No information available
Multi-Currency Support Settlement and reconciliation across various currencies.		Multi-currency support referenced prominently for multi-region clients.
Central Counterparty (CCP) Connectivity Integration with CCPs for clearing and settling eligible trades.		CCP connectivity stated in integration options for the product.

Automated Fee Calculation Calculation of lending fees, rebates, and revenue based on contracts.		Automated calculation of lending rebates and fees is standard in billing module.
Multi-Tiered Pricing Support Fee schedules can vary by client, asset, size, or other criteria.		Multi-tiered pricing structure for clients/instruments detailed in platform features.
Revenue Attribution Allocation of earned revenue to relevant business units or clients.		Revenue attribution down to client/business unit is a reporting feature.
Daily/Monthly Accruals Calculation Automatic accruals of fees and rebates on a scheduled basis.		Automated daily/monthly accruals described under revenue modules.
Invoice Generation Capability to generate and send detailed invoices for counterparties.		Invoice generation and dispatch explicitly claimed in solution pages.
Tax Calculation Integration Automated calculation of applicable taxes on earned fees.		Automated tax calculation/integration for fees included in product documentation.
Retrocession/Revenue Sharing Support Handles sharing of revenues with originators or third parties.		Revenue sharing/retrocession to originators and 3rd parties mentioned.
Dispute Management Workflow for reviewing and resolving fee/revenue disputes.		Dispute management workflow for fees/revenue provided.
Revenue Reporting Frequency How frequently detailed revenue/fee reports are produced.		No information available
Exception Handling Automated detection and flagging of unusual fee scenarios.		Exception handling for fees/revenue available in operations console.

Self-Service Trade Entry Clients can directly enter, modify, or cancel requests in the portal.		Self-service trade entry for clients included in portal demo.
Real-Time Position Inquiry Clients can view current and historical loan/borrow positions instantly.		Real-time position inquiry as a portal feature for viewing all positions.
Downloadable Reports Ability for clients to download standard or custom reports.		Downloadable reports assured in client and admin modules.
Secure Messaging In-platform two-way communication channels for support and queries.		Secure messaging in-platform is described for support and exception resolution.
Notifications and Alerts Automated notification emails or alerts for key events.		Automated alerts/notifications for all key events detailed in platform description.
Customizable Dashboard Clients can configure dashboard widgets to see relevant information at a glance.		Customizable dashboard for users/roles displayed in UI screenshots.
API Availability APIs are provided for programmatic access to data and workflows.		Extensive API availability mentioned in technical information.
Multi-Language Support Portal is available in multiple languages.		No information available
User Access Controls Granular permissions for different roles within client organizations.		User access controls and permissions configuration provided for portal and app.
Response Time Average query or report delivery time via the portal.		No information available

Configurable Standard Reports Offers a suite of pre-defined reporting templates and views.		Configurable/reporting templates are highlighted for client and regulatory reporting.
Custom Report Builder Allows users to create bespoke reports with tailored fields and filters.		Custom report builder listed in reporting module.
Real-Time Trade Analytics Dashboard of live statistics (e.g., volumes, rates, counterparties).		Real-time analytics for trades, collateral, P&L in dashboard screenshots.
Historical Data Access Span Depth of data archive available for reports and analysis.		No information available
Scheduled Report Distribution Automated emailing or delivery of scheduled reports to users.		Automated/scheduled report distribution cited.
Ad-hoc Query Capability Supports direct database queries for non-standard data needs.		Ad hoc database/query support included for client-specific queries.
Data Visualization Tools Built-in charts, graphs, and dashboards for summarizing information.		Multiple data visualization tools are listed in reporting and analytics screens.
Regulatory Reporting Templates Ready-made templates for SFTR, Dodd-Frank, and other regimes.		Regulatory template (SFTR, Dodd-Frank, EMIR) support referenced in materials.
Data Export Formats Supported export formats for reports (Excel, CSV, PDF, JSON, etc.).		Supports export in various formats: Excel, CSV, PDF, JSON, per documentation.
Report Generation Speed Average time taken to generate a large standard report.		No information available

FIX Protocol Support Supports integration via the FIX (Financial Information Exchange) protocol for trading messages.		FIX protocol integration listed as an available interface.
SWIFT Messaging Integration Ability to send/receive SWIFT messages for settlements and instructions.		SWIFT message format support for settlement detailed in features.
Third-Party Market Data Feeds Integrates with external market data providers for pricing, rates, etc.		Third-party data feed integrations supported (market data, pricing, rates).
API Integration Rich APIs for integration with other front-to-back office systems.		Rich APIs for integration with external systems.
Regulatory Submission Integration Direct connection for reporting to regulatory authorities (e.g., SFTR, EMIR).		Direct integration with regulatory reporting endpoints: SFTR, EMIR, etc.
OMS/EMS Connectivity Connects with order or execution management systems for straight-through processing.		OMS/EMS connectivity offered for front-to-back workflow integration.
Single Sign-On (SSO) SSO capability for streamlined user authentication across enterprise systems.		SSO functionality is part of access options.
Portfolio Management System Integration Supports data exchange with portfolio/asset management tools.		Portfolio/asset management system integration included for larger institutions.
Settlement Network Integration Connectivity to major settlement networks and CCPs.		Supports connectivity to major settlement networks/CCPs for instrument clearing.
Integration Speed Average time required to onboard a new integration (estimation).		No information available

Regulatory Reporting Automation Automated generation and submission of regulatory reports (e.g., SFTR, Dodd-Frank).		Automated regulatory report generation and submission cited as key feature.
Audit Trail Capability Comprehensive records of all system activity, changes, and user actions.		Complete audit trails of activity provided for compliance.
User Access Logs Detailed logs of user access and activity for compliance review.		User access and audit logs included for compliance modules.
Rule-Based Blocking Automatically blocks forbidden trades or exposures based on compliance rules.		Rule-based trading blocks available for compliance screening.
Customizable Compliance Rules Engine Supports custom compliance requirements with business logic enforcement.		Support for customizable compliance rules engines stated on website.
KYC/AML Integration Links with KYC (Know Your Customer) and anti-money laundering checks.		KYC/AML integration with external systems is available for regulatory needs.
Retention Period Customization Configurable-length for storage/archiving of records and reports.		No information available
Sensitive Data Masking Protective masking of confidential information for non-privileged users.		Sensitive data masking for access by non-privileged users is listed as a security control.
Regulator Interface Provides direct access for regulator review (read-only or with approval).		Read-only interface for regulatory review mentioned in solution documentation.
Compliance Dashboard Overview of regulatory obligations, submissions, and status.		Compliance dashboard reporting on regulatory status is shown in product demos.

Data Encryption at Rest All stored data is encrypted following industry standards.		Data at rest is encrypted per security technical specs.
Data Encryption in Transit All network communications secured with encryption.		Data in transit is encrypted; solution meets industry security standards.
Uptime SLA Guaranteed service uptime as per service-level agreement.		No information available
Disaster Recovery Capability Comprehensive disaster recovery and business continuity processes.		Disaster recovery and business continuity described as available for SaaS and on-premise options.
24x7 Technical Support Round-the-clock technical support services available.		24x7 technical support offered globally, per product website.
Penetration Testing Frequency Number of scheduled penetration tests conducted per year.		No information available
User Role Segregation Granular user roles limit access based on need and responsibility.		User role segregation and permissions managed at a granular level in user admin.
Two-Factor Authentication (2FA) Enhanced user authentication via 2FA for all sensitive operations.		Two-factor authentication (2FA) supported for user/platform access.
Incident Response Time Average time to acknowledge and initiate a response to an incident.		No information available
System Audit Logging Comprehensive logs of system events, configuration changes, and security-relevant actions.		System audit logging is part of standard security and compliance controls.

Securities Finance and Collateral Management from 4sight Financial Software

Product analysis by function

Securities Lending Platforms for Operations

Trade Execution and Management (9 Yes /9 Known /11 Possible features)

Collateral Management (8 Yes /8 Known /11 Possible features)

Risk Management and Limits (7 Yes /7 Known /10 Possible features)

Corporate Actions Processing (9 Yes /9 Known /10 Possible features)

Settlement and Reconciliation (8 Yes /8 Known /10 Possible features)

Fee and Revenue Management (9 Yes /9 Known /10 Possible features)

Client Portal and Communication (8 Yes /8 Known /10 Possible features)

Reporting and Analytics (8 Yes /8 Known /10 Possible features)

Integration and Interoperability (9 Yes /9 Known /10 Possible features)

Compliance and Regulatory (9 Yes /9 Known /10 Possible features)

Security, Reliability, and Support (7 Yes /7 Known /10 Possible features)