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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
Systems managing the lending and borrowing of securities, including collateral management, fee calculations, and position tracking.
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Automated Trade Matching
System automatically matches loan requests with offers, reducing manual intervention.
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Partial Fill Support
Ability to partially fulfill lending/borrowing requests if full quantity unavailable.
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Multi-Asset Class Support
Handles securities across equities, fixed income, ETFs, etc.
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Real-Time Trade Booking
Enables instant booking and confirmation of trades.
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Trade Amendments
Ability to modify trade details post-execution under controlled processes.
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Bulk Upload/Processing
Supports batch entry and processing of multiple trade instructions.
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Trade Status Tracking
Monitor the complete lifecycle/status of trades in real-time.
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Execution Speed
Time to execute and confirm a trade between counterparties.
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Locked-In Trades
Prevents unintentional modifications/cancelling after trade confirmation.
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Fail Management
Automated tracking and management of failed trades and recalls.
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Trade Capacity
Total number of trades that can be handled per day.
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Eligible Collateral Types
Ability to define and manage a list of accepted collateral types and criteria.
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Collateral Valuation Frequency
How often collateral valuations are updated for margin adequacy.
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Haircut Management
Configurable haircuts by asset/counterparty for risk mitigation.
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Margin Call Automation
System generates margin calls automatically based on shortfalls.
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Collateral Substitution
Allows counterparties to substitute collateral in live contracts.
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Eligibility Check Speed
Average time to check eligibility of a proposed collateral.
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Collateral Pooling
Ability to pool and allocate collateral from multiple sources.
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Collateral Shortfall Alerts
Sends automated alerts for under-collateralization.
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Collateral Inventory Management
Monitors and reports the current collateral held and available.
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Support for Triparty Collateral
Integration with triparty agents and corresponding workflows.
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Collateral Reporting Frequency
Number of collateral status/valuation reports generated per day.
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Counterparty Exposure Limits
Ability to set and monitor exposure per counterparty in real time.
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Concentration Risk Monitoring
Tracks exposure by security, sector, or issuer for concentration limits.
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Settlement Risk Analysis
Tools to evaluate and monitor potential failures/settlement delays.
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Automated Breach Alerts
Real-time notification when pre-set exposure or risk thresholds are breached.
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Dynamic Limit Adjustment
Automatically adjusts limits based on pre-defined rules or conditions.
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Value at Risk (VaR) Calculation
Built-in VaR tools specifically for lending/borrowing exposures.
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Stress Testing Capability
Runs scenario analysis to test positions against market stress.
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Risk Reporting Frequency
How frequently risk reports are produced and distributed.
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Automated Recall Risk Assessment
Proactively assesses and alerts to ongoing recall risks.
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Maximum Exposure Capacity
Maximum allowed exposure to any single counterparty.
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Dividend Processing
Automated recognition and payment/allocation of dividends for loaned securities.
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Tax Withholding/Adjustment
Calculates and implements withholding tax adjustments where applicable.
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Mandatory/Voluntary Actions Support
Differentiates and processes both mandatory (splits) and voluntary (rights) actions.
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Recall Automation for Corporate Actions
Automated recalls triggered by upcoming corporate actions that affect lent securities.
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Event Notification Speed
Time taken from announcement to notification of impacted positions.
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Claims Management
Tracks and manages claims arising from missed corporate actions.
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Proxy Voting Support
Functionality for recalling securities to support proxy voting rights.
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Action Instruction Cut-Off Handling
Automated enforcement of instruction deadlines for voluntary events.
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Reconciliation of Entitlements
Ensures correct entitlements post-corporate action event.
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Reporting on Corporate Actions
Generation of detailed reports on actions affecting loans/borrows.
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Automated Settlement Instructions (SWIFT)
Generation and transmission of standardized settlement messages for cash/securities movements.
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Real-Time Settlement Monitoring
Display and status updates of settlement progress in real-time.
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Settlement Matching Rate
Percentage of trades settled without manual intervention.
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Fails Tracking/Resolution
Automated detection and facilitation of resolution for failed settlements.
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Cash Movement Integration
Ability to automatically execute and record cash settlements.
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Automated Reconciliation
System automatically matches internal records with external confirmations/statements.
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Exception Management Workflow
Structured workflow for investigating and resolving unmatched items.
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Settlement Timeliness
Average settlement cycle time after trade agreement.
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Multi-Currency Support
Settlement and reconciliation across various currencies.
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Central Counterparty (CCP) Connectivity
Integration with CCPs for clearing and settling eligible trades.
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Automated Fee Calculation
Calculation of lending fees, rebates, and revenue based on contracts.
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Multi-Tiered Pricing Support
Fee schedules can vary by client, asset, size, or other criteria.
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Revenue Attribution
Allocation of earned revenue to relevant business units or clients.
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Daily/Monthly Accruals Calculation
Automatic accruals of fees and rebates on a scheduled basis.
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Invoice Generation
Capability to generate and send detailed invoices for counterparties.
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Tax Calculation Integration
Automated calculation of applicable taxes on earned fees.
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Retrocession/Revenue Sharing Support
Handles sharing of revenues with originators or third parties.
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Dispute Management
Workflow for reviewing and resolving fee/revenue disputes.
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Revenue Reporting Frequency
How frequently detailed revenue/fee reports are produced.
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Exception Handling
Automated detection and flagging of unusual fee scenarios.
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Self-Service Trade Entry
Clients can directly enter, modify, or cancel requests in the portal.
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Real-Time Position Inquiry
Clients can view current and historical loan/borrow positions instantly.
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Downloadable Reports
Ability for clients to download standard or custom reports.
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Secure Messaging
In-platform two-way communication channels for support and queries.
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Notifications and Alerts
Automated notification emails or alerts for key events.
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Customizable Dashboard
Clients can configure dashboard widgets to see relevant information at a glance.
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API Availability
APIs are provided for programmatic access to data and workflows.
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Multi-Language Support
Portal is available in multiple languages.
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User Access Controls
Granular permissions for different roles within client organizations.
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Response Time
Average query or report delivery time via the portal.
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Configurable Standard Reports
Offers a suite of pre-defined reporting templates and views.
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Custom Report Builder
Allows users to create bespoke reports with tailored fields and filters.
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Real-Time Trade Analytics
Dashboard of live statistics (e.g., volumes, rates, counterparties).
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Historical Data Access Span
Depth of data archive available for reports and analysis.
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Scheduled Report Distribution
Automated emailing or delivery of scheduled reports to users.
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Ad-hoc Query Capability
Supports direct database queries for non-standard data needs.
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Data Visualization Tools
Built-in charts, graphs, and dashboards for summarizing information.
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Regulatory Reporting Templates
Ready-made templates for SFTR, Dodd-Frank, and other regimes.
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Data Export Formats
Supported export formats for reports (Excel, CSV, PDF, JSON, etc.).
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Report Generation Speed
Average time taken to generate a large standard report.
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FIX Protocol Support
Supports integration via the FIX (Financial Information Exchange) protocol for trading messages.
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SWIFT Messaging Integration
Ability to send/receive SWIFT messages for settlements and instructions.
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Third-Party Market Data Feeds
Integrates with external market data providers for pricing, rates, etc.
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API Integration
Rich APIs for integration with other front-to-back office systems.
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Regulatory Submission Integration
Direct connection for reporting to regulatory authorities (e.g., SFTR, EMIR).
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OMS/EMS Connectivity
Connects with order or execution management systems for straight-through processing.
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Single Sign-On (SSO)
SSO capability for streamlined user authentication across enterprise systems.
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Portfolio Management System Integration
Supports data exchange with portfolio/asset management tools.
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Settlement Network Integration
Connectivity to major settlement networks and CCPs.
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Integration Speed
Average time required to onboard a new integration (estimation).
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Regulatory Reporting Automation
Automated generation and submission of regulatory reports (e.g., SFTR, Dodd-Frank).
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Audit Trail Capability
Comprehensive records of all system activity, changes, and user actions.
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User Access Logs
Detailed logs of user access and activity for compliance review.
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Rule-Based Blocking
Automatically blocks forbidden trades or exposures based on compliance rules.
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Customizable Compliance Rules Engine
Supports custom compliance requirements with business logic enforcement.
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KYC/AML Integration
Links with KYC (Know Your Customer) and anti-money laundering checks.
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Retention Period Customization
Configurable-length for storage/archiving of records and reports.
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Sensitive Data Masking
Protective masking of confidential information for non-privileged users.
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Regulator Interface
Provides direct access for regulator review (read-only or with approval).
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Compliance Dashboard
Overview of regulatory obligations, submissions, and status.
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Data Encryption at Rest
All stored data is encrypted following industry standards.
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Data Encryption in Transit
All network communications secured with encryption.
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Uptime SLA
Guaranteed service uptime as per service-level agreement.
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Disaster Recovery Capability
Comprehensive disaster recovery and business continuity processes.
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24x7 Technical Support
Round-the-clock technical support services available.
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Penetration Testing Frequency
Number of scheduled penetration tests conducted per year.
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User Role Segregation
Granular user roles limit access based on need and responsibility.
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Two-Factor Authentication (2FA)
Enhanced user authentication via 2FA for all sensitive operations.
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Incident Response Time
Average time to acknowledge and initiate a response to an incident.
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System Audit Logging
Comprehensive logs of system events, configuration changes, and security-relevant actions.
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