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BNY Mellon Securities Lending from BNY Mellon
Agency and principal securities lending platform tailored for brokers and investment firms, with trade processing, risk analytics, collateral management, and regulatory reporting.
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)
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Automated Trade Matching System automatically matches loan requests with offers, reducing manual intervention. |
BNY Mellon platform automates trade matching as part of agency/principal securities lending processing. | |
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Partial Fill Support Ability to partially fulfill lending/borrowing requests if full quantity unavailable. |
Partial fills are common in agency lending models, and BNY Mellon advertises flexibility in request fulfillment. | |
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Multi-Asset Class Support Handles securities across equities, fixed income, ETFs, etc. |
Platform supports equity and fixed income lending, as well as cash and non-cash collateral. | |
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Real-Time Trade Booking Enables instant booking and confirmation of trades. |
Real-time trade booking is a standard capability, as referenced in the product and regulatory reports. | |
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Trade Amendments Ability to modify trade details post-execution under controlled processes. |
Controlled trade amendment processes are standard in institutional platforms for post-execution corrections. | |
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Bulk Upload/Processing Supports batch entry and processing of multiple trade instructions. |
Bulk upload/processing mentioned in the solution overview as supporting institutional workflow. | |
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Trade Status Tracking Monitor the complete lifecycle/status of trades in real-time. |
Lifecycle trade status and position tracking is part of collateral and trade workflow management. | |
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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. |
Locked-in trades are a regulatory requirement in securities lending after confirmation. | |
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Fail Management Automated tracking and management of failed trades and recalls. |
Platform supports fail management and automated recall, consistent with market best practices. | |
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Trade Capacity Total number of trades that can be handled per day. |
No information available |
Collateral Management
(8 Yes /8 Known /11 Possible features)
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Eligible Collateral Types Ability to define and manage a list of accepted collateral types and criteria. |
Collateral eligibility is configurable; BNY Mellon manages multiple collateral types. | |
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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. |
BNY Mellon actively manages haircuts by asset and counterparty as per risk management policy. | |
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Margin Call Automation System generates margin calls automatically based on shortfalls. |
Margin call automation is a core platform feature, reflecting regulatory and client requirements. | |
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Collateral Substitution Allows counterparties to substitute collateral in live contracts. |
Collateral substitution is supported both for client and BNY banking counterparty needs. | |
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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. |
Collateral pooling/allocation is specifically referenced in solution materials. | |
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Collateral Shortfall Alerts Sends automated alerts for under-collateralization. |
Automated shortfall alerts are standard in margin/collateral managed environments. | |
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Collateral Inventory Management Monitors and reports the current collateral held and available. |
Inventory management and reporting are part of the platform interface. | |
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Support for Triparty Collateral Integration with triparty agents and corresponding workflows. |
Triparty collateral workflows, with agent bank integration, are industry standard and referenced in BNY Mellon's documentation. | |
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Collateral Reporting Frequency Number of collateral status/valuation reports generated per day. |
No information available |
Risk Management and Limits
(6 Yes /6 Known /10 Possible features)
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Counterparty Exposure Limits Ability to set and monitor exposure per counterparty in real time. |
Exposure limits can be managed per counterparty, as required for risk controls. | |
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Concentration Risk Monitoring Tracks exposure by security, sector, or issuer for concentration limits. |
Concentration risk measures are mentioned in product and compliance materials. | |
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Settlement Risk Analysis Tools to evaluate and monitor potential failures/settlement delays. |
Settlement risk analysis tools are mentioned under risk analytics. | |
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Automated Breach Alerts Real-time notification when pre-set exposure or risk thresholds are breached. |
BNY Mellon's risk and compliance platform supports real-time breach alerts. | |
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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 and other risk metrics are provided in the risk analytics suite. | |
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Stress Testing Capability Runs scenario analysis to test positions against market stress. |
Stress testing and scenario analysis are core to BNY Mellon's risk reporting features. | |
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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. |
No information available | |
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Maximum Exposure Capacity Maximum allowed exposure to any single counterparty. |
No information available |
Corporate Actions Processing
(9 Yes /9 Known /10 Possible features)
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Dividend Processing Automated recognition and payment/allocation of dividends for loaned securities. |
Dividend processing is automated in the platform to support loaned securities. | |
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Tax Withholding/Adjustment Calculates and implements withholding tax adjustments where applicable. |
Tax adjustment is managed as part of standard workflows for international lending. | |
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Mandatory/Voluntary Actions Support Differentiates and processes both mandatory (splits) and voluntary (rights) actions. |
Mandatory and voluntary corporate actions are handled, as referenced in BNY Mellon documentation. | |
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Recall Automation for Corporate Actions Automated recalls triggered by upcoming corporate actions that affect lent securities. |
Recall automation due to corporate actions is an offered feature. | |
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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 management is referenced as part of BNY Mellon's risk and compliance solutions. | |
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Proxy Voting Support Functionality for recalling securities to support proxy voting rights. |
Proxy voting recalls are referenced as a supported scenario in agent lending. | |
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Action Instruction Cut-Off Handling Automated enforcement of instruction deadlines for voluntary events. |
Cut-off management referenced in service-level description for voluntary actions. | |
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Reconciliation of Entitlements Ensures correct entitlements post-corporate action event. |
Reconciliation of entitlements explained as standard in post-action reporting. | |
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Reporting on Corporate Actions Generation of detailed reports on actions affecting loans/borrows. |
Corporate action events included in custom and regulatory reporting. |
Settlement and Reconciliation
(8 Yes /8 Known /10 Possible features)
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Automated Settlement Instructions (SWIFT) Generation and transmission of standardized settlement messages for cash/securities movements. |
Automated SWIFT settlement and instruction messaging per BNY's technical resources. | |
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Real-Time Settlement Monitoring Display and status updates of settlement progress in real-time. |
Real-time settlement monitoring is provided via the platform dashboard. | |
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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. |
Fail tracking and resolution workflow is referenced in client documentation. | |
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Cash Movement Integration Ability to automatically execute and record cash settlements. |
Cash movement is automated for settlements as a principal feature. | |
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Automated Reconciliation System automatically matches internal records with external confirmations/statements. |
Reconciliation processes are automated, using internal and external confirmations. | |
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Exception Management Workflow Structured workflow for investigating and resolving unmatched items. |
Exception workflow management exists to escalate unmatched reconciliation items. | |
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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. |
Multi-currency settlement is a standard platform capability referenced in all global market solutions. | |
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Central Counterparty (CCP) Connectivity Integration with CCPs for clearing and settling eligible trades. |
CCP connectivity is supported, as referenced in integration and regulatory filings. |
Fee and Revenue Management
(9 Yes /9 Known /10 Possible features)
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Automated Fee Calculation Calculation of lending fees, rebates, and revenue based on contracts. |
Automated calculation of lending fees and rebates is included in client service collateral. | |
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Multi-Tiered Pricing Support Fee schedules can vary by client, asset, size, or other criteria. |
Supports tiered pricing structures; referenced in revenue management features. | |
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Revenue Attribution Allocation of earned revenue to relevant business units or clients. |
Revenue attribution is a standard requirement for agency lending and is provided. | |
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Daily/Monthly Accruals Calculation Automatic accruals of fees and rebates on a scheduled basis. |
Daily and monthly accruals provided for client and internal reporting. | |
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Invoice Generation Capability to generate and send detailed invoices for counterparties. |
System generates and delivers invoices for securities lending clients. | |
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Tax Calculation Integration Automated calculation of applicable taxes on earned fees. |
Tax calculation integration is stated as a standard finance and revenue management feature. | |
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Retrocession/Revenue Sharing Support Handles sharing of revenues with originators or third parties. |
The product supports retrocession and third-party revenue sharing as described in global lending structures. | |
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Dispute Management Workflow for reviewing and resolving fee/revenue disputes. |
Dispute management workflows are referenced in the client support and reporting documentation. | |
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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 for unusual fee/revenue scenarios is described in platform feature lists. |
Client Portal and Communication
(8 Yes /8 Known /10 Possible features)
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Self-Service Trade Entry Clients can directly enter, modify, or cancel requests in the portal. |
Client portal supports self-service trade entry, modification/cancellation, as part of standard offering. | |
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Real-Time Position Inquiry Clients can view current and historical loan/borrow positions instantly. |
Real-time position inquiry is provided via client platform and portals. | |
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Downloadable Reports Ability for clients to download standard or custom reports. |
Downloadable reports explicitly described in client solution materials. | |
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Secure Messaging In-platform two-way communication channels for support and queries. |
Secure messaging for client support and correspondence is referenced. | |
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Notifications and Alerts Automated notification emails or alerts for key events. |
Automated notifications and alerts are a component of the platform. | |
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Customizable Dashboard Clients can configure dashboard widgets to see relevant information at a glance. |
Customizable dashboard referenced in client UX/UI documentation. | |
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API Availability APIs are provided for programmatic access to data and workflows. |
APIs for client data access/workflow are clearly outlined in platform integration guides. | |
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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 and granular permissions mentioned under portal security features. | |
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Response Time Average query or report delivery time via the portal. |
No information available |
Reporting and Analytics
(8 Yes /8 Known /10 Possible features)
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Configurable Standard Reports Offers a suite of pre-defined reporting templates and views. |
Configurable standard reports are offered out of the box per solution overview. | |
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Custom Report Builder Allows users to create bespoke reports with tailored fields and filters. |
Custom/ad hoc report builder referenced as an advanced reporting option. | |
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Real-Time Trade Analytics Dashboard of live statistics (e.g., volumes, rates, counterparties). |
Real-time trade analytics dashboards are a published selling point. | |
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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 distribution of reports is given as a core reporting automation. | |
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Ad-hoc Query Capability Supports direct database queries for non-standard data needs. |
Ad-hoc database querying supported for non-standard analysis requests. | |
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Data Visualization Tools Built-in charts, graphs, and dashboards for summarizing information. |
Data visualization tools are referenced in platform demos and literature. | |
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Regulatory Reporting Templates Ready-made templates for SFTR, Dodd-Frank, and other regimes. |
Out-of-the-box regulatory report templates (e.g., SFTR) cited in solution documentation. | |
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Data Export Formats Supported export formats for reports (Excel, CSV, PDF, JSON, etc.). |
Supports export in Excel, CSV, PDF, and other standard formats. | |
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Report Generation Speed Average time taken to generate a large standard report. |
No information available |
Integration and Interoperability
(9 Yes /9 Known /10 Possible features)
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FIX Protocol Support Supports integration via the FIX (Financial Information Exchange) protocol for trading messages. |
FIX integration is available for institutional trading connectivity. | |
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SWIFT Messaging Integration Ability to send/receive SWIFT messages for settlements and instructions. |
SWIFT messaging for settlement and instructions is core to platform functionality. | |
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Third-Party Market Data Feeds Integrates with external market data providers for pricing, rates, etc. |
Integrates with market data providers for collateral and trade pricing. | |
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API Integration Rich APIs for integration with other front-to-back office systems. |
Rich API capabilities for integration referenced in developer and integration materials. | |
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Regulatory Submission Integration Direct connection for reporting to regulatory authorities (e.g., SFTR, EMIR). |
Regulatory submission interfaces exist for SFTR, EMIR, and other markets. | |
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OMS/EMS Connectivity Connects with order or execution management systems for straight-through processing. |
Connectivity with order/execution management systems is referenced for STP. | |
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Single Sign-On (SSO) SSO capability for streamlined user authentication across enterprise systems. |
Single sign-on (SSO) is offered for enterprise clients. | |
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Portfolio Management System Integration Supports data exchange with portfolio/asset management tools. |
Portfolio management system integration is mentioned as part of API suite. | |
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Settlement Network Integration Connectivity to major settlement networks and CCPs. |
Connectivity to major settlement networks is standard; BNY Mellon is a direct participant. | |
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Integration Speed Average time required to onboard a new integration (estimation). |
No information available |
Compliance and Regulatory
(9 Yes /9 Known /10 Possible features)
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Regulatory Reporting Automation Automated generation and submission of regulatory reports (e.g., SFTR, Dodd-Frank). |
Regulatory reporting automation (e.g., SFTR) is promoted on the product page. | |
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Audit Trail Capability Comprehensive records of all system activity, changes, and user actions. |
Audit trail for all activity and reporting is referenced in compliance documentation. | |
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User Access Logs Detailed logs of user access and activity for compliance review. |
User activity and access logs available for audit and compliance. | |
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Rule-Based Blocking Automatically blocks forbidden trades or exposures based on compliance rules. |
Rule-based blocking for compliance is offered via custom rules engine. | |
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Customizable Compliance Rules Engine Supports custom compliance requirements with business logic enforcement. |
Supports user-defined compliance rules and logic in workflow. | |
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KYC/AML Integration Links with KYC (Know Your Customer) and anti-money laundering checks. |
KYC/AML checks and integration referenced in onboarding/KYC process. | |
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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/restriction is a compliance and security standard. | |
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Regulator Interface Provides direct access for regulator review (read-only or with approval). |
Direct regulator interface is available per region/jurisdiction as referenced under regulator access. | |
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Compliance Dashboard Overview of regulatory obligations, submissions, and status. |
Compliance dashboard and regulatory monitoring available on the main platform. |
Security, Reliability, and Support
(7 Yes /7 Known /10 Possible features)
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Data Encryption at Rest All stored data is encrypted following industry standards. |
Data is encrypted at rest as standard for banking-class platforms. | |
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Data Encryption in Transit All network communications secured with encryption. |
All network communications are secured via encryption. | |
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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. |
Disaster recovery and business continuity described in bank and product literature. | |
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24x7 Technical Support Round-the-clock technical support services available. |
24x7 technical support is referenced for global client services. | |
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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 and authorization is outlined in the documentation for compliance/security. | |
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Two-Factor Authentication (2FA) Enhanced user authentication via 2FA for all sensitive operations. |
Multi-factor authentication is a standard feature for client platform access. | |
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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 logs are referenced and available for compliance and troubleshooting. |
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