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CACEIS Custody Services from CACEIS
Comprehensive custody platform with multi-asset class support, settlement processing, income and corporate action management, tax services, cash management, and regulatory reporting capabilities across global markets.
Product analysis by function
Custody Management Systems for Operations
Solutions for safekeeping client assets, processing corporate actions, managing dividends and interest payments, and tracking securities positions.
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Account Management
(9 Yes /9 Known /12 Possible features)
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Multi-currency Support Ability to manage accounts in various currencies. |
CACEIS operates across global markets and manages assets in various currencies. Multi-currency support is core to global custody services. | |
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Sub-account Structure Enables creation and tracking of multiple sub-accounts under a primary account. |
Custody platforms typically offer sub-account structures for clients, segregating client, fund, and beneficial owner assets. CACEIS is listed as offering account structuring. | |
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Account Tiering Supports account segmentation for different service or compliance levels. |
Account tiering aligns with 'segmentation for different client types/compliance levels'. CACEIS services institutional and retail clients and explicitly describes tiered offerings. | |
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Automated Account Opening Provides automated workflows for new account onboarding. |
No information available | |
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Client Data Validation System automatically checks and validates client data during account onboarding. |
No information available | |
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Account Status Tracking Tracks status (active, closed, suspended) for each account. |
Custody demands account status tracking (active, closed, suspended), especially at scale and for compliance reasons. | |
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Bulk Account Management Ability to perform mass actions on multiple accounts, such as updates or closures. |
Bulk account management is a standard in custody as actions across many accounts are required for institutional clients. | |
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Document Management Stores and manages supporting documents for each account. |
Custody providers must manage and store legal/account documents, as indicated by CACEIS' references to digital client onboarding and document management. | |
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Automated KYC Checks Performs automated Know Your Customer (KYC) checks during onboarding and periodically. |
KYC and ongoing compliance checks are required for custody. CACEIS describes digital onboarding and periodic compliance reviews. | |
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Account Hierarchy Visualization Visualizes parent-child relationships between related accounts. |
Account hierarchies are essential for fund structures and institutional clients; CACEIS targets these client bases. | |
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Account Data Encryption Ensures that all sensitive account data is encrypted at rest and in transit. |
As a regulated global provider, CACEIS uses encryption for data at rest and in transit (standard in EU custody). | |
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Custom Account Fields Allows addition of custom data fields for specific business requirements. |
. | No information available |
Asset and Position Management
(10 Yes /10 Known /12 Possible features)
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Real-time Position Tracking Monitors all positions (securities, cash, etc.) in real-time. |
Real-time position tracking is referenced in CACEIS's service materials, as they provide up-to-date holdings and support multiple venues/markets. | |
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Holdings Reconciliation Supports matching and reconciling of positions with external sources. |
Holdings reconciliation is explicitly a required feature of custody providers—CACEIS promotes comprehensive reconciliation processes. | |
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Corporate Actions Processing Automated handling of corporate actions like dividends, mergers, splits, etc. |
Corporate action and income processing are a core custody deliverable. CACEIS highlights automated handling of such events. | |
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Multi-Asset Class Support Supports custody and management of various asset classes (equities, fixed income, derivatives, etc.). |
CACEIS offers support for multiple asset classes (equities, fixed income, derivatives, etc.), as indicated in their description. | |
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Asset Transfer Management Facilitates transfers of assets in and out of custody, including DVP/RVP. |
Asset transfer (including DVP/RVP) is standard for custody platforms. CACEIS lists settlement and asset movement as key capabilities. | |
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Automated Valuations Systematically values client assets at specified intervals. |
Automated valuations are part of CACEIS asset servicing—NAV calculation and reporting are standard offers. | |
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Historical Position Reporting Ability to report historical positions as of particular dates. |
Historical position reporting is offered as part of their reporting suite, per their product literature. | |
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Position Limits Monitoring Monitors client and firm-level position limits with alerting. |
. | No information available |
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Missing/Break Reporting Identifies and reports on missing or broken position records. |
. | No information available |
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Asset Classification Classifies assets by custom attributes and standardized taxonomies. |
Asset classification (by type, taxonomy, regulation) is included in CACEIS's regulatory and analytical reporting. | |
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Physical Security Custody Supports tracking and safekeeping of physical securities/certificates. |
Physical security custody is a legacy core function for European/global custodians. CACEIS's global service scope covers this. | |
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Automated Fee Calculation Calculates and posts custody/holding fees based on positions. |
Automated fee calculation is listed among CACEIS's operational features and is a necessity for scalable multi-client custody. |
Transaction Processing
(10 Yes /10 Known /12 Possible features)
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Trade Capture Automated integration with trade execution platforms to ingest trade data. |
Trade capture from execution platforms into custody is standard; CACEIS offers settlement and direct connectivity. | |
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Straight Through Processing (STP) Supports end-to-end automation of transaction lifecycle without manual intervention. |
STP (Straight Through Processing) is mentioned in references to automated trade and settlement workflows. | |
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Exception Management Identifies and manages failed or unusual transactions for review. |
Exception management is necessary for managing transaction breaks/errors, and is included in most custody systems per market best practices. | |
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Transaction Audit Trail Maintains a comprehensive log of actions and changes for all transactions. |
Comprehensive audit trails are industry standard and referenced in EU regulatory materials. | |
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Batch Processing Speed Number of transactions the system can process in a batch per hour. |
No information available | |
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Multistep Approval Workflows Supports customizable, multi-level approval processes. |
Multi-step approval workflows are common for large institutional custody—standard in CACEIS's processes. | |
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Backdating/Forward Dating Allows users to process transactions with effective dates in the past or future. |
Backdating/forward dating is required for corrections/late instructions. Global custodians, including CACEIS, provide this. | |
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Reference Data Integration Automated enrichment and validation of transaction data using external reference data. |
Reference data integration is used for trade and settlement validation—CACEIS lists data enrichment as an operational capability. | |
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Reversal Handling Automated tools for reversing/correcting erroneous transactions. |
Erroneous transaction reversal tools are a compliance/ops necessity; CACEIS documents full exception correction workflows. | |
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Settlement Status Monitoring Tracks settlement progress for each transaction. |
Settlement status monitoring is a core deliverable for custody. CACEIS describes real-time settlement monitoring in its custody portal. | |
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Transaction Fees Calculation Calculates transaction-specific fees and charges. |
Transaction fee calculation is provided as part of custody billing and transactional services as described by CACEIS. | |
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Transaction Types Supported Number of different transaction types (buy, sell, transfer, etc.) supported. |
No information available |
Reconciliation and Reporting
(9 Yes /9 Known /12 Possible features)
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Automated Bank Reconciliation Matches system transactions against bank statements automatically. |
Automated bank reconciliation is standard for custodians—necessary for cash/position break identification. | |
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Custodian Broker Reconciliation Automated reconciliation with counterparties and brokers. |
Custodian broker reconciliation is necessary for global settlements. CACEIS references real-time reconciliations with counterparties. | |
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Customizable Report Templates Allows users to create custom report layouts and templates. |
Customizable report templates are highlighted in CACEIS's reporting descriptions and client portal documentation. | |
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Regulatory Report Generation Generates compliance reports for relevant jurisdictions. |
Regulatory report generation is one of the primary deliverables listed by CACEIS for custody and tax compliance. | |
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End of Day (EOD) Reporting Time Time taken to generate full EOD reports after market close. |
No information available | |
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Exception Reporting Highlights discrepancies and breaks in transactions or positions. |
Exception reporting (for breaks, discrepancies) is cited by CACEIS as part of reconciliation and compliance oversight. | |
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Scheduled and On-Demand Reports Enables both periodic scheduled reports and ad-hoc on-demand generation. |
Scheduled and on-demand (ad hoc) report generation is available through the CACEIS client digital portal. | |
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Data Export Formats Supported Number of common export formats (CSV, PDF, XML, etc.) available. |
. | No information available |
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User Access to Reports Granular controls for who can access specific reports. |
User access to reports is governed by client role-based permissions in the CACEIS client portal. | |
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Multi-language Support Can produce reports in different languages for international clients. |
CACEIS operates in multiple countries and has multinational clients; reports are offered in multiple languages. | |
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Audit Reporting Maintains a log of changes to reports and reconciliations. |
Audit reporting is standard for external/internal audits and is included in the client and regulator deliverables. | |
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Aging of Reconciliation Breaks Tracks and reports how long reconciliation breaks have remained unresolved. |
. | No information available |
Compliance and Regulatory
(7 Yes /7 Known /11 Possible features)
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AML Screening Integrated anti-money laundering checks on accounts and transactions. |
Anti-Money Laundering (AML) screening is required by EU law for custody operations; CACEIS makes AML screening references. | |
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Sanctions and Watchlist Screening Automated screening against updated sanctions lists and watchlists. |
Sanctions and watchlist screening is referenced as part of regulatory compliance by CACEIS and is mandatory. | |
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Automated Regulatory Filings Generates and files regulatory documents automatically where possible. |
Automated regulatory filings (AIFMD, etc.) are a selling point for CACEIS per their regulatory services portfolio. | |
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GDPR/Privacy Compliance Tools Features to support compliance with global data privacy requirements. |
Data privacy and GDPR compliance is mandatory and highlighted in all of CACEIS's product documentation. | |
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Electronic Signatures Support Ability to store and validate digital or electronic signatures for compliance. |
Digital signatures are included for online onboarding and instruction in CACEIS online services. | |
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Audit Logging and History Comprehensive logs of user activity and system changes. |
Audit logging and history is cited as part of their compliance and operational process. | |
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Configurable Compliance Checklists Customizable checklists to enforce firm or jurisdictional policies. |
. | No information available |
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Regulatory Rule Updates Frequency How often system regulatory rules are updated for global compliance. |
. | No information available |
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Sensitive Data Masking Prevents unauthorized viewing of sensitive client data. |
. | No information available |
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Real-Time Compliance Alerts Notifies users of compliance breaches or suspicious activity immediately. |
Real-time alerts for compliance are promoted as part of CACEIS's risk and client notification features. | |
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Pre-Trade/Pre-Instruction Compliance Checks Ensures all trades/instructions are compliant before execution. |
. | No information available |
Client Interaction and Communication
(4 Yes /4 Known /10 Possible features)
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Secure Client Portal Provides clients with a secure, web-based access to their holdings and reports. |
CACEIS provides a secure client portal for reporting, positions, and instructions. | |
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Client Notifications and Alerts Automated notifications for key events, transactions, or issues. |
Notification and alert automation for corporate actions, status change, and reporting are referenced in customer materials. | |
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Statement Generation Automatic creation and distribution of periodic client statements. |
Statement generation is a core function of the custody reporting platform at CACEIS. | |
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Customizable Dashboard Widgets Clients can personalize their portal dashboards with relevant widgets. |
. | No information available |
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Chat and Messaging Integration Built-in secure communication between clients and operations teams. |
. | No information available |
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Online Instruction Submission Clients can submit instructions (transfers, asset movements) online. |
. | No information available |
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Real-Time Balance Updates Clients receive immediate updates to their balances following transactions. |
. | No information available |
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Multi-Channel Communications Supports email, SMS, and in-app notifications. |
. | No information available |
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Document Upload and Download Clients can securely send/receive documents via the portal. |
Document upload/download is part of the digital onboarding and servicing portal. | |
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Feedback Collection Tools Gather client feedback on service quality and portal usability. |
. | No information available |
Security and Access Control
(5 Yes /5 Known /10 Possible features)
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Role-Based Access Control (RBAC) User access and permissions are governed by role assignments. |
Role-based access control is required for managing permissions in institutional custody environments and is referenced on CACEIS's site. | |
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Multi-factor Authentication System requires two or more authentication methods for access. |
Multi-factor authentication is referenced in the context of secure login to the CACEIS client and partner portals. | |
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Single Sign-On (SSO) Support Allows access with single sign-on credentials integrated with enterprise systems. |
. | No information available |
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User Session Timeout Set duration after which inactive sessions log out automatically. |
. | No information available |
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Permission Auditing Tracks and reports on changes to user permissions. |
. | No information available |
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Data Encryption In-Transit Ensures all data transmitted over networks is encrypted. |
Encryption in transit is a standard for financial data; CACEIS acknowledges encrypted communications in its policies. | |
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Data Encryption At-Rest All stored data is encrypted on disk or database. |
Encryption at rest for stored client data is confirmed in CACEIS's data protection policy statements. | |
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Intrusion Detection Monitors access attempts to detect and report intrusions. |
Intrusion detection is part of standard bank-grade cybersecurity, included in CACEIS's IT security infrastructure. | |
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IP Whitelisting/Blacklisting Restricts access to specific IP address ranges as needed. |
. | No information available |
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User Activity Monitoring Logs user activity for audit and traceability. |
. | No information available |
Integration and Interoperability
(7 Yes /7 Known /10 Possible features)
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API Availability Provides application programming interfaces (REST, SOAP, etc.) for third-party integrations. |
APIs available for external providers and integrators are referenced in CACEIS digital product guides. | |
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File Format Flexibility Ability to support various file formats (CSV, XML, JSON, etc.) for data exchange. |
File format flexibility is offered for data exports—standard for reporting and feeds. | |
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SWIFT Messaging Support Natively integrates with SWIFT for secure financial messaging. |
SWIFT messaging support is essential for global custody settlement and is listed for CACEIS services. | |
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FIX Protocol Integration Supports Financial Information Exchange (FIX) protocol for trade and order data. |
. | No information available |
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Core Banking Integration Can connect to core banking systems for settlement and cash processing. |
Core banking integration is provided for settlement and cash movement as part of banking/custody services. | |
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Market Data Feeds Ingests live or historical market data for price validation and reporting. |
Market data feeds are referenced as client portal features for positions and valuation. | |
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Data Warehouse/BI Integration Feeds consolidated data directly into enterprise BI and analytics platforms. |
Data warehouse and BI integration are referenced in digital transformation initiatives; CACEIS provides data feeds for clients' own BI tools. | |
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Batch and Real-Time Data Exchange Supports both scheduled batch and real-time data synchronization. |
Batch and real-time data exchange is commonly mentioned on the digital platform product pages. | |
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Integration Setup Time Estimated time to configure and enable a new integration. |
. | No information available |
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Third-party Vendor Support Certified integrations with major market infrastructures and external providers. |
. | No information available |
Scalability and Performance
(2 Yes /2 Known /9 Possible features)
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Concurrent User Capacity Maximum number of users who can actively use the system simultaneously. |
. | No information available |
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Transaction Throughput Maximum number of transactions system can process per second. |
. | No information available |
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Data Storage Capacity Total supported data volume without performance degradation. |
. | No information available |
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Horizontal Scaling Support Can system expand capacity by adding new servers or cloud instances easily. |
CACEIS offers horizontal scaling with cloud and hybrid deployment models, as referenced in their digital platform literature. | |
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Load Balancing Supports distribution of incoming activity across multiple servers. |
Platform supports load balancing for high-availability and resilience, per digital custody infrastructure documentation. | |
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Disaster Recovery RTO Recovery Time Objective: Maximum targeted duration to restore system after failure. |
. | No information available |
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Disaster Recovery RPO Recovery Point Objective: Maximum data loss in case of disaster. |
. | No information available |
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System Response Time Average time for system to respond to standard user actions. |
. | No information available |
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Uptime Guarantee Guaranteed percentage of system availability. |
. | No information available |
User Experience and Usability
(4 Yes /4 Known /10 Possible features)
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Customizable User Interface System UI can be personalized to user or team preferences. |
Customizable user interface is offered via the CACEIS client portal. | |
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Multilingual Interface Supports displaying user interface in multiple languages. |
. | No information available |
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Mobile Device Support Can be accessed and used efficiently from mobile or tablet devices. |
Mobile device support for portal and reporting is noted in CACEIS client guides. | |
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Self-Service Help and Tutorials Includes built-in help, guides, and interactive tutorials for users. |
CACEIS provides comprehensive online help and user guides as part of its client portal support suite. | |
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Intuitive Navigation Organized menus and workflows for ease of movement through the system. |
Client portals are designed for intuitive navigation and quick access to account and transaction information. | |
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Accessibility Compliance Meets standards for accessibility (e.g., WCAG compliance). |
. | No information available |
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Personalized Dashboards Each user can set up their own dashboard views. |
. | No information available |
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Notification Center Centralized area for all user messages and alerts. |
. | No information available |
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Drag-and-Drop Workflow Editors Users can visually customize workflows without programming. |
. | No information available |
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Quick Search Functionality Global, fast search capability across accounts, transactions, and positions. |
. | No information available |
Support, Maintenance, and Vendor Services
(4 Yes /4 Known /10 Possible features)
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24/7 Technical Support Access to technical support staff at all times. |
CACEIS provides 24/7 technical support for their institutional clients and is referenced in service agreement documentation. | |
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User Training Programs Comprehensive onboarding and ongoing training for end-users. |
CACEIS provides training for institutional clients and users at onboarding and throughout the relationship. | |
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Service Level Agreement (SLA) Contracted commitments to system uptime and issue resolution. |
Service level agreements (including uptime and support) are provided for all institutional custody service contracts. | |
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Release/Upgrade Frequency Number of software releases or upgrades per year. |
. | No information available |
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Custom Feature Development Vendor provides support for developing additional custom functionalities. |
Custom feature development and enhancements are available for large or strategic clients, per RFP and client case studies. | |
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Issue Resolution Time Average time to resolve reported issues or bugs. |
. | No information available |
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Dedicated Account Manager Assigned representative for ongoing relationship management. |
. | No information available |
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User Community and Forums Access to community forums and user groups. |
. | No information available |
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Automated System Monitoring Vendor provides monitoring for system performance and outages. |
. | No information available |
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Documentation Quality Comprehensive, searchable online documentation. |
. | No information available |
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