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Comprehensive custody solutions designed for modern broker-dealers, including trade settlement, asset servicing, and compliance support, with advanced integration capabilities for seamless operational workflows.
Solutions for safekeeping client assets, processing corporate actions, managing dividends and interest payments, and tracking securities positions.
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Multi-currency Support
Ability to manage accounts in various currencies.
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Sub-account Structure
Enables creation and tracking of multiple sub-accounts under a primary account.
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Account Tiering
Supports account segmentation for different service or compliance levels.
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Automated Account Opening
Provides automated workflows for new account onboarding.
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Client Data Validation
System automatically checks and validates client data during account onboarding.
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Account Status Tracking
Tracks status (active, closed, suspended) for each account.
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Bulk Account Management
Ability to perform mass actions on multiple accounts, such as updates or closures.
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Document Management
Stores and manages supporting documents for each account.
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Automated KYC Checks
Performs automated Know Your Customer (KYC) checks during onboarding and periodically.
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Account Hierarchy Visualization
Visualizes parent-child relationships between related accounts.
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Account Data Encryption
Ensures that all sensitive account data is encrypted at rest and in transit.
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Custom Account Fields
Allows addition of custom data fields for specific business requirements.
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Real-time Position Tracking
Monitors all positions (securities, cash, etc.) in real-time.
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Holdings Reconciliation
Supports matching and reconciling of positions with external sources.
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Corporate Actions Processing
Automated handling of corporate actions like dividends, mergers, splits, etc.
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Multi-Asset Class Support
Supports custody and management of various asset classes (equities, fixed income, derivatives, etc.).
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Asset Transfer Management
Facilitates transfers of assets in and out of custody, including DVP/RVP.
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Automated Valuations
Systematically values client assets at specified intervals.
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Historical Position Reporting
Ability to report historical positions as of particular dates.
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Position Limits Monitoring
Monitors client and firm-level position limits with alerting.
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Missing/Break Reporting
Identifies and reports on missing or broken position records.
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Asset Classification
Classifies assets by custom attributes and standardized taxonomies.
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Physical Security Custody
Supports tracking and safekeeping of physical securities/certificates.
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Automated Fee Calculation
Calculates and posts custody/holding fees based on positions.
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Trade Capture
Automated integration with trade execution platforms to ingest trade data.
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Straight Through Processing (STP)
Supports end-to-end automation of transaction lifecycle without manual intervention.
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Exception Management
Identifies and manages failed or unusual transactions for review.
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Transaction Audit Trail
Maintains a comprehensive log of actions and changes for all transactions.
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Batch Processing Speed
Number of transactions the system can process in a batch per hour.
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Multistep Approval Workflows
Supports customizable, multi-level approval processes.
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Backdating/Forward Dating
Allows users to process transactions with effective dates in the past or future.
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Reference Data Integration
Automated enrichment and validation of transaction data using external reference data.
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Reversal Handling
Automated tools for reversing/correcting erroneous transactions.
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Settlement Status Monitoring
Tracks settlement progress for each transaction.
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Transaction Fees Calculation
Calculates transaction-specific fees and charges.
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Transaction Types Supported
Number of different transaction types (buy, sell, transfer, etc.) supported.
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Automated Bank Reconciliation
Matches system transactions against bank statements automatically.
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Custodian Broker Reconciliation
Automated reconciliation with counterparties and brokers.
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Customizable Report Templates
Allows users to create custom report layouts and templates.
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Regulatory Report Generation
Generates compliance reports for relevant jurisdictions.
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End of Day (EOD) Reporting Time
Time taken to generate full EOD reports after market close.
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Exception Reporting
Highlights discrepancies and breaks in transactions or positions.
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Scheduled and On-Demand Reports
Enables both periodic scheduled reports and ad-hoc on-demand generation.
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Data Export Formats Supported
Number of common export formats (CSV, PDF, XML, etc.) available.
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User Access to Reports
Granular controls for who can access specific reports.
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Multi-language Support
Can produce reports in different languages for international clients.
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Audit Reporting
Maintains a log of changes to reports and reconciliations.
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Aging of Reconciliation Breaks
Tracks and reports how long reconciliation breaks have remained unresolved.
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AML Screening
Integrated anti-money laundering checks on accounts and transactions.
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Sanctions and Watchlist Screening
Automated screening against updated sanctions lists and watchlists.
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Automated Regulatory Filings
Generates and files regulatory documents automatically where possible.
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GDPR/Privacy Compliance Tools
Features to support compliance with global data privacy requirements.
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Electronic Signatures Support
Ability to store and validate digital or electronic signatures for compliance.
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Audit Logging and History
Comprehensive logs of user activity and system changes.
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Configurable Compliance Checklists
Customizable checklists to enforce firm or jurisdictional policies.
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Regulatory Rule Updates Frequency
How often system regulatory rules are updated for global compliance.
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Sensitive Data Masking
Prevents unauthorized viewing of sensitive client data.
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Real-Time Compliance Alerts
Notifies users of compliance breaches or suspicious activity immediately.
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Pre-Trade/Pre-Instruction Compliance Checks
Ensures all trades/instructions are compliant before execution.
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Secure Client Portal
Provides clients with a secure, web-based access to their holdings and reports.
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Client Notifications and Alerts
Automated notifications for key events, transactions, or issues.
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Statement Generation
Automatic creation and distribution of periodic client statements.
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Customizable Dashboard Widgets
Clients can personalize their portal dashboards with relevant widgets.
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Chat and Messaging Integration
Built-in secure communication between clients and operations teams.
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Online Instruction Submission
Clients can submit instructions (transfers, asset movements) online.
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Real-Time Balance Updates
Clients receive immediate updates to their balances following transactions.
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Multi-Channel Communications
Supports email, SMS, and in-app notifications.
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Document Upload and Download
Clients can securely send/receive documents via the portal.
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Feedback Collection Tools
Gather client feedback on service quality and portal usability.
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Role-Based Access Control (RBAC)
User access and permissions are governed by role assignments.
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Multi-factor Authentication
System requires two or more authentication methods for access.
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Single Sign-On (SSO) Support
Allows access with single sign-on credentials integrated with enterprise systems.
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User Session Timeout
Set duration after which inactive sessions log out automatically.
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Permission Auditing
Tracks and reports on changes to user permissions.
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Data Encryption In-Transit
Ensures all data transmitted over networks is encrypted.
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Data Encryption At-Rest
All stored data is encrypted on disk or database.
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Intrusion Detection
Monitors access attempts to detect and report intrusions.
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IP Whitelisting/Blacklisting
Restricts access to specific IP address ranges as needed.
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User Activity Monitoring
Logs user activity for audit and traceability.
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API Availability
Provides application programming interfaces (REST, SOAP, etc.) for third-party integrations.
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File Format Flexibility
Ability to support various file formats (CSV, XML, JSON, etc.) for data exchange.
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SWIFT Messaging Support
Natively integrates with SWIFT for secure financial messaging.
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FIX Protocol Integration
Supports Financial Information Exchange (FIX) protocol for trade and order data.
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Core Banking Integration
Can connect to core banking systems for settlement and cash processing.
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Market Data Feeds
Ingests live or historical market data for price validation and reporting.
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Data Warehouse/BI Integration
Feeds consolidated data directly into enterprise BI and analytics platforms.
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Batch and Real-Time Data Exchange
Supports both scheduled batch and real-time data synchronization.
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Integration Setup Time
Estimated time to configure and enable a new integration.
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Third-party Vendor Support
Certified integrations with major market infrastructures and external providers.
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Concurrent User Capacity
Maximum number of users who can actively use the system simultaneously.
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Transaction Throughput
Maximum number of transactions system can process per second.
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Data Storage Capacity
Total supported data volume without performance degradation.
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Horizontal Scaling Support
Can system expand capacity by adding new servers or cloud instances easily.
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Load Balancing
Supports distribution of incoming activity across multiple servers.
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Disaster Recovery RTO
Recovery Time Objective: Maximum targeted duration to restore system after failure.
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Disaster Recovery RPO
Recovery Point Objective: Maximum data loss in case of disaster.
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System Response Time
Average time for system to respond to standard user actions.
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Uptime Guarantee
Guaranteed percentage of system availability.
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Customizable User Interface
System UI can be personalized to user or team preferences.
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Multilingual Interface
Supports displaying user interface in multiple languages.
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Mobile Device Support
Can be accessed and used efficiently from mobile or tablet devices.
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Self-Service Help and Tutorials
Includes built-in help, guides, and interactive tutorials for users.
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Intuitive Navigation
Organized menus and workflows for ease of movement through the system.
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Accessibility Compliance
Meets standards for accessibility (e.g., WCAG compliance).
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Personalized Dashboards
Each user can set up their own dashboard views.
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Notification Center
Centralized area for all user messages and alerts.
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Drag-and-Drop Workflow Editors
Users can visually customize workflows without programming.
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Quick Search Functionality
Global, fast search capability across accounts, transactions, and positions.
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24/7 Technical Support
Access to technical support staff at all times.
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User Training Programs
Comprehensive onboarding and ongoing training for end-users.
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Service Level Agreement (SLA)
Contracted commitments to system uptime and issue resolution.
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Release/Upgrade Frequency
Number of software releases or upgrades per year.
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Custom Feature Development
Vendor provides support for developing additional custom functionalities.
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Issue Resolution Time
Average time to resolve reported issues or bugs.
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Dedicated Account Manager
Assigned representative for ongoing relationship management.
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User Community and Forums
Access to community forums and user groups.
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Automated System Monitoring
Vendor provides monitoring for system performance and outages.
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Documentation Quality
Comprehensive, searchable online documentation.
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