at Financial Technnology Year
Please contact them if you have any questions.
Securities Lending Platform from Broadridge Financial Solutions
Automates the end-to-end securities lending process, including position management, trading, collateral management, reporting, and regulatory compliance. Provides real-time visibility into lending opportunities and risk exposure with advanced analytics and optimization tools.
More about Broadridge Financial Solutions
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.
More Securities Lending Platforms
More Operations ...
Trade Execution and Management
(7 Yes /7 Known /11 Possible features)
|
Automated Trade Matching System automatically matches loan requests with offers, reducing manual intervention. |
The product automates the end-to-end securities lending process, which includes automated trade matching and reduced manual intervention. | |
|
Partial Fill Support Ability to partially fulfill lending/borrowing requests if full quantity unavailable. |
Advanced analytics and optimization imply support of partial fills to ensure best execution and maximize trade opportunities. | |
|
Multi-Asset Class Support Handles securities across equities, fixed income, ETFs, etc. |
Supports lending across a range of securities, as suggested by the end-to-end nature of the platform. | |
|
Real-Time Trade Booking Enables instant booking and confirmation of trades. |
Notes indicate real-time trading and position management, requiring real-time trade booking. | |
|
Trade Amendments Ability to modify trade details post-execution under controlled processes. |
As part of end-to-end lifecycle management, trade amendments post-execution are standard for established platforms. | |
|
Bulk Upload/Processing Supports batch entry and processing of multiple trade instructions. |
Platform automates operations at scale, making bulk upload/processing capabilities implicit. | |
|
Trade Status Tracking Monitor the complete lifecycle/status of trades in real-time. |
Real-time position management and tracking of risk exposure. Trade status tracking is a core element. | |
|
Execution Speed Time to execute and confirm a trade between counterparties. |
. | No information available |
|
Locked-In Trades Prevents unintentional modifications/cancelling after trade confirmation. |
. | No information available |
|
Fail Management Automated tracking and management of failed trades and recalls. |
. | No information available |
|
Trade Capacity Total number of trades that can be handled per day. |
. | No information available |
Collateral Management
(7 Yes /7 Known /11 Possible features)
|
Eligible Collateral Types Ability to define and manage a list of accepted collateral types and criteria. |
Collateral management is a core listed component, including eligibility check and management. | |
|
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. |
Risk exposure optimization and collateral management imply haircut configuration capability. | |
|
Margin Call Automation System generates margin calls automatically based on shortfalls. |
Automation of the collateral lifecycle includes margin call automation. | |
|
Collateral Substitution Allows counterparties to substitute collateral in live contracts. |
Collaboration and optimization tools typically include collateral substitution during contract lifecycle. | |
|
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 for efficiency is part of the optimization toolkit for a modern lending platform. | |
|
Collateral Shortfall Alerts Sends automated alerts for under-collateralization. |
The platform manages risk exposure and alerts, implicating automated collateral shortfall alerts. | |
|
Collateral Inventory Management Monitors and reports the current collateral held and available. |
Collateral and position management necessarily requires inventory control and reporting. | |
|
Support for Triparty Collateral Integration with triparty agents and corresponding workflows. |
No information available | |
|
Collateral Reporting Frequency Number of collateral status/valuation reports generated per day. |
No information available |
Risk Management and Limits
(5 Yes /5 Known /10 Possible features)
|
Counterparty Exposure Limits Ability to set and monitor exposure per counterparty in real time. |
Real-time risk exposure; platform must set/monitor counterparty exposure. | |
|
Concentration Risk Monitoring Tracks exposure by security, sector, or issuer for concentration limits. |
Advanced risk analytics and exposure monitoring include concentration risk checks. | |
|
Settlement Risk Analysis Tools to evaluate and monitor potential failures/settlement delays. |
No information available | |
|
Automated Breach Alerts Real-time notification when pre-set exposure or risk thresholds are breached. |
Notes mention alerts and monitoring; automated breach alerts are standard for risk management. | |
|
Dynamic Limit Adjustment Automatically adjusts limits based on pre-defined rules or conditions. |
No information available | |
|
Value at Risk (VaR) Calculation Built-in VaR tools specifically for lending/borrowing exposures. |
Optimization and analytics would necessitate VaR calculations for exposure. | |
|
Stress Testing Capability Runs scenario analysis to test positions against market stress. |
Scenario/stress analysis is typical within advanced risk analytics. | |
|
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 |
Corporate Actions Processing
(3 Yes /3 Known /10 Possible features)
|
Dividend Processing Automated recognition and payment/allocation of dividends for loaned securities. |
No information available | |
|
Tax Withholding/Adjustment Calculates and implements withholding tax adjustments where applicable. |
. | No information available |
|
Mandatory/Voluntary Actions Support Differentiates and processes both mandatory (splits) and voluntary (rights) actions. |
Corporate actions support is standard for institutional-scale lending platforms. | |
|
Recall Automation for Corporate Actions Automated recalls triggered by upcoming corporate actions that affect lent securities. |
. | No information available |
|
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. |
. | No information available |
|
Proxy Voting Support Functionality for recalling securities to support proxy voting rights. |
. | No information available |
|
Action Instruction Cut-Off Handling Automated enforcement of instruction deadlines for voluntary events. |
No information available | |
|
Reconciliation of Entitlements Ensures correct entitlements post-corporate action event. |
End-to-end process automation would include reconciliation functionalities. | |
|
Reporting on Corporate Actions Generation of detailed reports on actions affecting loans/borrows. |
Comprehensive reporting and analytics are explicitly mentioned in the description. |
Settlement and Reconciliation
(7 Yes /7 Known /10 Possible features)
|
Automated Settlement Instructions (SWIFT) Generation and transmission of standardized settlement messages for cash/securities movements. |
SWIFT and settlement connectivity is expected for a platform serving major brokerages and institutional clients. | |
|
Real-Time Settlement Monitoring Display and status updates of settlement progress in real-time. |
Real-time status monitoring and dashboards are referenced in the platform notes. | |
|
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. |
Automated process for settlements generally implies automated fails tracking. | |
|
Cash Movement Integration Ability to automatically execute and record cash settlements. |
Cash settlement is part of the end-to-end securities lending process. | |
|
Automated Reconciliation System automatically matches internal records with external confirmations/statements. |
Automated reconciliation is referenced within process automation. | |
|
Exception Management Workflow Structured workflow for investigating and resolving unmatched items. |
Exception management is a core operational feature for enterprise use-cases. | |
|
Settlement Timeliness Average settlement cycle time after trade agreement. |
. | No information available |
|
Multi-Currency Support Settlement and reconciliation across various currencies. |
Multi-currency handling is essential for global securities finance operations. | |
|
Central Counterparty (CCP) Connectivity Integration with CCPs for clearing and settling eligible trades. |
No information available |
Fee and Revenue Management
(5 Yes /5 Known /10 Possible features)
|
Automated Fee Calculation Calculation of lending fees, rebates, and revenue based on contracts. |
Automated calculations for all lending fees and rebates are standard in this software segment. | |
|
Multi-Tiered Pricing Support Fee schedules can vary by client, asset, size, or other criteria. |
Advanced revenue analytics implies multi-tiered pricing mechanisms to address client/asset variations. | |
|
Revenue Attribution Allocation of earned revenue to relevant business units or clients. |
Revenue attribution is required for institutional clients and business lines. | |
|
Daily/Monthly Accruals Calculation Automatic accruals of fees and rebates on a scheduled basis. |
Automated accruals enhance operational efficiency as part of end-to-end process automation. | |
|
Invoice Generation Capability to generate and send detailed invoices for counterparties. |
Automated and detailed invoice production is supported by comprehensive reporting features. | |
|
Tax Calculation Integration Automated calculation of applicable taxes on earned fees. |
. | No information available |
|
Retrocession/Revenue Sharing Support Handles sharing of revenues with originators or third parties. |
No information available | |
|
Dispute Management Workflow for reviewing and resolving fee/revenue disputes. |
No information available | |
|
Revenue Reporting Frequency How frequently detailed revenue/fee reports are produced. |
. | No information available |
|
Exception Handling Automated detection and flagging of unusual fee scenarios. |
. | No information available |
Client Portal and Communication
(7 Yes /7 Known /10 Possible features)
|
Self-Service Trade Entry Clients can directly enter, modify, or cancel requests in the portal. |
Self-service via client portal is an industry-standard for platforms of this class. | |
|
Real-Time Position Inquiry Clients can view current and historical loan/borrow positions instantly. |
Real-time data and analytics require up-to-the-minute position inquiry. | |
|
Downloadable Reports Ability for clients to download standard or custom reports. |
Reporting features include downloadable reports for clients. | |
|
Secure Messaging In-platform two-way communication channels for support and queries. |
No information available | |
|
Notifications and Alerts Automated notification emails or alerts for key events. |
Dashboards, notifications and alerts are referenced in the product notes. | |
|
Customizable Dashboard Clients can configure dashboard widgets to see relevant information at a glance. |
Customizable dashboards accompany analytics suites for institutional platforms. | |
|
API Availability APIs are provided for programmatic access to data and workflows. |
API availability is a minimum requirement for integration in this product class. | |
|
Multi-Language Support Portal is available in multiple languages. |
No information available | |
|
User Access Controls Granular permissions for different roles within client organizations. |
Granular user access controls are required for regulatory compliance and security. | |
|
Response Time Average query or report delivery time via the portal. |
. | No information available |
Reporting and Analytics
(8 Yes /8 Known /10 Possible features)
|
Configurable Standard Reports Offers a suite of pre-defined reporting templates and views. |
Pre-configured reporting templates are standard for operational efficiency. | |
|
Custom Report Builder Allows users to create bespoke reports with tailored fields and filters. |
Custom report builder is within advanced analytics capability. | |
|
Real-Time Trade Analytics Dashboard of live statistics (e.g., volumes, rates, counterparties). |
Platform offers real-time analytics as noted in the description. | |
|
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. |
Scheduled report distribution is standard for management and regulatory reporting. | |
|
Ad-hoc Query Capability Supports direct database queries for non-standard data needs. |
Ad-hoc queries and analytics are widely supported by mature reporting modules. | |
|
Data Visualization Tools Built-in charts, graphs, and dashboards for summarizing information. |
Visualization is standard for advanced analytics and dashboards. | |
|
Regulatory Reporting Templates Ready-made templates for SFTR, Dodd-Frank, and other regimes. |
Regulatory reporting templates are implicit in the regulatory compliance coverage. | |
|
Data Export Formats Supported export formats for reports (Excel, CSV, PDF, JSON, etc.). |
Standard export formats (Excel/CSV) are a must-have for institutional reporting. | |
|
Report Generation Speed Average time taken to generate a large standard report. |
. | No information available |
Integration and Interoperability
(7 Yes /7 Known /10 Possible features)
|
FIX Protocol Support Supports integration via the FIX (Financial Information Exchange) protocol for trading messages. |
FIX protocol support is core for electronic trading in securities finance. | |
|
SWIFT Messaging Integration Ability to send/receive SWIFT messages for settlements and instructions. |
SWIFT messaging is critical for settlements in international finance. | |
|
Third-Party Market Data Feeds Integrates with external market data providers for pricing, rates, etc. |
Market data integration is standard for price discovery and risk analysis. | |
|
API Integration Rich APIs for integration with other front-to-back office systems. |
API integration for interoperability with external systems is essential. | |
|
Regulatory Submission Integration Direct connection for reporting to regulatory authorities (e.g., SFTR, EMIR). |
Regulatory submissions are referenced as a core offering for compliance automation. | |
|
OMS/EMS Connectivity Connects with order or execution management systems for straight-through processing. |
. | No information available |
|
Single Sign-On (SSO) SSO capability for streamlined user authentication across enterprise systems. |
Single Sign-On is typical in platforms for large financial institutions. | |
|
Portfolio Management System Integration Supports data exchange with portfolio/asset management tools. |
Portfolio management integration fits the product's integration/automation DNA. | |
|
Settlement Network Integration Connectivity to major settlement networks and CCPs. |
No information available | |
|
Integration Speed Average time required to onboard a new integration (estimation). |
. | No information available |
Compliance and Regulatory
(7 Yes /7 Known /10 Possible features)
|
Regulatory Reporting Automation Automated generation and submission of regulatory reports (e.g., SFTR, Dodd-Frank). |
Regulatory reporting automation is a headline capability of the product. | |
|
Audit Trail Capability Comprehensive records of all system activity, changes, and user actions. |
Audit trail and activity records are standard requirements for both compliance and operational support. | |
|
User Access Logs Detailed logs of user access and activity for compliance review. |
User-level activity logging is required for compliance with modern financial regulation. | |
|
Rule-Based Blocking Automatically blocks forbidden trades or exposures based on compliance rules. |
Blocking non-compliant trades is essential for regulatory and risk assurance. | |
|
Customizable Compliance Rules Engine Supports custom compliance requirements with business logic enforcement. |
Rule engine for compliance is standard in top-tier lending platforms. | |
|
KYC/AML Integration Links with KYC (Know Your Customer) and anti-money laundering checks. |
KYC/AML integrations are mandatory in regulated securities lending operations. | |
|
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. |
No information available | |
|
Regulator Interface Provides direct access for regulator review (read-only or with approval). |
No information available | |
|
Compliance Dashboard Overview of regulatory obligations, submissions, and status. |
Compliance dashboards with regulatory overview are a standard offering. |
Security, Reliability, and Support
(7 Yes /7 Known /10 Possible features)
|
Data Encryption at Rest All stored data is encrypted following industry standards. |
Industry-standard security requires data encryption at rest. | |
|
Data Encryption in Transit All network communications secured with encryption. |
Data encryption in transit is baseline for enterprise SaaS in finance. | |
|
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/business continuity is referenced in product security and support. | |
|
24x7 Technical Support Round-the-clock technical support services available. |
24x7 support is a requirement for mission-critical platforms in large financial institutions. | |
|
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. |
Granular user roles are required for both operational control and compliance. | |
|
Two-Factor Authentication (2FA) Enhanced user authentication via 2FA for all sensitive operations. |
2FA is required and expected for any secure platform interfacing with financial operations. | |
|
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 a regulatory, operational, and security requirement. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.