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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.
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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
(0 Yes /0 Known /11 Possible features)
Automated Trade Matching
System automatically matches loan requests with offers, reducing manual intervention.
No information available
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Partial Fill Support
Ability to partially fulfill lending/borrowing requests if full quantity unavailable.
No information available
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Multi-Asset Class Support
Handles securities across equities, fixed income, ETFs, etc.
No information available
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Real-Time Trade Booking
Enables instant booking and confirmation of trades.
No information available
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Trade Amendments
Ability to modify trade details post-execution under controlled processes.
No information available
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Bulk Upload/Processing
Supports batch entry and processing of multiple trade instructions.
No information available
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Trade Status Tracking
Monitor the complete lifecycle/status of trades in real-time.
No information available
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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.
No information available
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Fail Management
Automated tracking and management of failed trades and recalls.
No information available
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Trade Capacity
Total number of trades that can be handled per day.
No information available
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Collateral Management
(0 Yes /0 Known /11 Possible features)
Eligible Collateral Types
Ability to define and manage a list of accepted collateral types and criteria.
No information available
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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.
No information available
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Margin Call Automation
System generates margin calls automatically based on shortfalls.
No information available
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Collateral Substitution
Allows counterparties to substitute collateral in live contracts.
No information available
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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.
No information available
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Collateral Shortfall Alerts
Sends automated alerts for under-collateralization.
No information available
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Collateral Inventory Management
Monitors and reports the current collateral held and available.
No information available
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Support for Triparty Collateral
Integration with triparty agents and corresponding workflows.
No information available
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Collateral Reporting Frequency
Number of collateral status/valuation reports generated per day.
No information available
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Risk Management and Limits
(0 Yes /0 Known /10 Possible features)
Counterparty Exposure Limits
Ability to set and monitor exposure per counterparty in real time.
No information available
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Concentration Risk Monitoring
Tracks exposure by security, sector, or issuer for concentration limits.
No information available
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Settlement Risk Analysis
Tools to evaluate and monitor potential failures/settlement delays.
No information available
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Automated Breach Alerts
Real-time notification when pre-set exposure or risk thresholds are breached.
No information available
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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.
No information available
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Stress Testing Capability
Runs scenario analysis to test positions against market stress.
No information available
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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
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Corporate Actions Processing
(0 Yes /0 Known /10 Possible features)
Dividend Processing
Automated recognition and payment/allocation of dividends for loaned securities.
No information available
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Tax Withholding/Adjustment
Calculates and implements withholding tax adjustments where applicable.
No information available
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Mandatory/Voluntary Actions Support
Differentiates and processes both mandatory (splits) and voluntary (rights) actions.
No information available
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Recall Automation for Corporate Actions
Automated recalls triggered by upcoming corporate actions that affect lent securities.
No information available
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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.
No information available
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Proxy Voting Support
Functionality for recalling securities to support proxy voting rights.
No information available
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Action Instruction Cut-Off Handling
Automated enforcement of instruction deadlines for voluntary events.
No information available
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Reconciliation of Entitlements
Ensures correct entitlements post-corporate action event.
No information available
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Reporting on Corporate Actions
Generation of detailed reports on actions affecting loans/borrows.
No information available
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Settlement and Reconciliation
(0 Yes /0 Known /10 Possible features)
Automated Settlement Instructions (SWIFT)
Generation and transmission of standardized settlement messages for cash/securities movements.
No information available
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Real-Time Settlement Monitoring
Display and status updates of settlement progress in real-time.
No information available
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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.
No information available
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Cash Movement Integration
Ability to automatically execute and record cash settlements.
No information available
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Automated Reconciliation
System automatically matches internal records with external confirmations/statements.
No information available
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Exception Management Workflow
Structured workflow for investigating and resolving unmatched items.
No information available
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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.
No information available
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Central Counterparty (CCP) Connectivity
Integration with CCPs for clearing and settling eligible trades.
No information available
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Fee and Revenue Management
(0 Yes /0 Known /10 Possible features)
Automated Fee Calculation
Calculation of lending fees, rebates, and revenue based on contracts.
No information available
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Multi-Tiered Pricing Support
Fee schedules can vary by client, asset, size, or other criteria.
No information available
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Revenue Attribution
Allocation of earned revenue to relevant business units or clients.
No information available
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Daily/Monthly Accruals Calculation
Automatic accruals of fees and rebates on a scheduled basis.
No information available
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Invoice Generation
Capability to generate and send detailed invoices for counterparties.
No information available
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Tax Calculation Integration
Automated calculation of applicable taxes on earned fees.
No information available
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Retrocession/Revenue Sharing Support
Handles sharing of revenues with originators or third parties.
No information available
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Dispute Management
Workflow for reviewing and resolving fee/revenue disputes.
No information available
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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.
No information available
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Client Portal and Communication
(0 Yes /0 Known /10 Possible features)
Self-Service Trade Entry
Clients can directly enter, modify, or cancel requests in the portal.
No information available
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Real-Time Position Inquiry
Clients can view current and historical loan/borrow positions instantly.
No information available
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Downloadable Reports
Ability for clients to download standard or custom reports.
No information available
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Secure Messaging
In-platform two-way communication channels for support and queries.
No information available
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Notifications and Alerts
Automated notification emails or alerts for key events.
No information available
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Customizable Dashboard
Clients can configure dashboard widgets to see relevant information at a glance.
No information available
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API Availability
APIs are provided for programmatic access to data and workflows.
No information available
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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.
No information available
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Response Time
Average query or report delivery time via the portal.
No information available
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Reporting and Analytics
(0 Yes /0 Known /10 Possible features)
Configurable Standard Reports
Offers a suite of pre-defined reporting templates and views.
No information available
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Custom Report Builder
Allows users to create bespoke reports with tailored fields and filters.
No information available
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Real-Time Trade Analytics
Dashboard of live statistics (e.g., volumes, rates, counterparties).
No information available
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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.
No information available
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Ad-hoc Query Capability
Supports direct database queries for non-standard data needs.
No information available
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Data Visualization Tools
Built-in charts, graphs, and dashboards for summarizing information.
No information available
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Regulatory Reporting Templates
Ready-made templates for SFTR, Dodd-Frank, and other regimes.
No information available
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Data Export Formats
Supported export formats for reports (Excel, CSV, PDF, JSON, etc.).
No information available
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Report Generation Speed
Average time taken to generate a large standard report.
No information available
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Integration and Interoperability
(0 Yes /0 Known /10 Possible features)
FIX Protocol Support
Supports integration via the FIX (Financial Information Exchange) protocol for trading messages.
No information available
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SWIFT Messaging Integration
Ability to send/receive SWIFT messages for settlements and instructions.
No information available
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Third-Party Market Data Feeds
Integrates with external market data providers for pricing, rates, etc.
No information available
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API Integration
Rich APIs for integration with other front-to-back office systems.
No information available
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Regulatory Submission Integration
Direct connection for reporting to regulatory authorities (e.g., SFTR, EMIR).
No information available
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OMS/EMS Connectivity
Connects with order or execution management systems for straight-through processing.
No information available
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Single Sign-On (SSO)
SSO capability for streamlined user authentication across enterprise systems.
No information available
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Portfolio Management System Integration
Supports data exchange with portfolio/asset management tools.
No information available
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Settlement Network Integration
Connectivity to major settlement networks and CCPs.
No information available
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Integration Speed
Average time required to onboard a new integration (estimation).
No information available
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Compliance and Regulatory
(0 Yes /0 Known /10 Possible features)
Regulatory Reporting Automation
Automated generation and submission of regulatory reports (e.g., SFTR, Dodd-Frank).
No information available
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Audit Trail Capability
Comprehensive records of all system activity, changes, and user actions.
No information available
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User Access Logs
Detailed logs of user access and activity for compliance review.
No information available
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Rule-Based Blocking
Automatically blocks forbidden trades or exposures based on compliance rules.
No information available
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Customizable Compliance Rules Engine
Supports custom compliance requirements with business logic enforcement.
No information available
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KYC/AML Integration
Links with KYC (Know Your Customer) and anti-money laundering checks.
No information available
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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.
No information available
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Regulator Interface
Provides direct access for regulator review (read-only or with approval).
No information available
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Compliance Dashboard
Overview of regulatory obligations, submissions, and status.
No information available
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Security, Reliability, and Support
(0 Yes /0 Known /10 Possible features)
Data Encryption at Rest
All stored data is encrypted following industry standards.
No information available
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Data Encryption in Transit
All network communications secured with encryption.
No information available
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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.
No information available
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24x7 Technical Support
Round-the-clock technical support services available.
No information available
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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.
No information available
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Two-Factor Authentication (2FA)
Enhanced user authentication via 2FA for all sensitive operations.
No information available
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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.
No information available
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