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Apex Securities Lending from Apex Clearing

Apex Securities Lending streamlines the lending process and improves capital efficiency through advanced technology, offering real-time data and analytics for better decision-making and risk assessment.

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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.
More Securities Lending Platforms More Operations ...

Trade Execution and Management
(5 Yes /5 Known /11 Possible features)

Collateral Management
(1 Yes /1 Known /11 Possible features)

Risk Management and Limits
(1 Yes /1 Known /10 Possible features)

Corporate Actions Processing
(4 Yes /4 Known /10 Possible features)

Settlement and Reconciliation
(2 Yes /2 Known /10 Possible features)

Fee and Revenue Management
(4 Yes /4 Known /10 Possible features)

Client Portal and Communication
(5 Yes /5 Known /10 Possible features)

Reporting and Analytics
(4 Yes /4 Known /10 Possible features)

Integration and Interoperability
(3 Yes /3 Known /10 Possible features)

Compliance and Regulatory
(4 Yes /4 Known /10 Possible features)

Security, Reliability, and Support
(5 Yes /5 Known /10 Possible features)

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Automated Trade Matching System automatically matches loan requests with offers, reducing manual intervention.		Apex Securities Lending claims to streamline lending and improve automation, which implies automated trade matching.
Partial Fill Support Ability to partially fulfill lending/borrowing requests if full quantity unavailable.		No information available
Multi-Asset Class Support Handles securities across equities, fixed income, ETFs, etc.		As a solution for brokerage operations, Apex likely supports multiple asset classes typical in securities lending.
Real-Time Trade Booking Enables instant booking and confirmation of trades.		Described as providing real-time data, which implies real-time trade booking is core to the platform.
Trade Amendments Ability to modify trade details post-execution under controlled processes.		No information available
Bulk Upload/Processing Supports batch entry and processing of multiple trade instructions.		Advanced technology and focus on streamlining implies bulk upload and batch processing capabilities.
Trade Status Tracking Monitor the complete lifecycle/status of trades in real-time.		Real-time data and analytics for status implies trade status tracking.
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

Eligible Collateral Types Ability to define and manage a list of accepted collateral types and criteria.		Capital efficiency and automated risk tools imply eligibility control for collateral.
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.		No information available
Margin Call Automation System generates margin calls automatically based on shortfalls.		No information available
Collateral Substitution Allows counterparties to substitute collateral in live contracts.		No information available
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.		No information available
Collateral Shortfall Alerts Sends automated alerts for under-collateralization.		No information available
Collateral Inventory Management Monitors and reports the current collateral held and available.		No information available
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

Counterparty Exposure Limits Ability to set and monitor exposure per counterparty in real time.		Risk and exposure monitoring are cited in product collateral.
Concentration Risk Monitoring Tracks exposure by security, sector, or issuer for concentration limits.		No information available
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.		No information available
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.		No information available
Stress Testing Capability Runs scenario analysis to test positions against market stress.		No information available
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

Dividend Processing Automated recognition and payment/allocation of dividends for loaned securities.		Dividend processing is standard for US broker-dealer securities lending.
Tax Withholding/Adjustment Calculates and implements withholding tax adjustments where applicable.		US-based securities lending solution must process withholding and tax adjustments.
Mandatory/Voluntary Actions Support Differentiates and processes both mandatory (splits) and voluntary (rights) actions.		Handling a wide range of corporate actions is required for broker operations.
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.		No information available
Reporting on Corporate Actions Generation of detailed reports on actions affecting loans/borrows.		Apex provides real-time and downloadable reporting for lending/borrowing activities.

Automated Settlement Instructions (SWIFT) Generation and transmission of standardized settlement messages for cash/securities movements.		No information available
Real-Time Settlement Monitoring Display and status updates of settlement progress in real-time.		Real-time data and status updates are referenced, implying real-time settlement monitoring.
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.		No information available
Cash Movement Integration Ability to automatically execute and record cash settlements.		No information available
Automated Reconciliation System automatically matches internal records with external confirmations/statements.		No information available
Exception Management Workflow Structured workflow for investigating and resolving unmatched items.		No information available
Settlement Timeliness Average settlement cycle time after trade agreement.		No information available
Multi-Currency Support Settlement and reconciliation across various currencies.		Multi-currency support is standard for brokerages and implied for a platform catering to institutional lending.
Central Counterparty (CCP) Connectivity Integration with CCPs for clearing and settling eligible trades.		No information available

Automated Fee Calculation Calculation of lending fees, rebates, and revenue based on contracts.		Automated fee and revenue calculation is essential to a streamlined lending platform for capital efficiency.
Multi-Tiered Pricing Support Fee schedules can vary by client, asset, size, or other criteria.		No information available
Revenue Attribution Allocation of earned revenue to relevant business units or clients.		Attribution of earnings is generally provided to clients on modern platforms.
Daily/Monthly Accruals Calculation Automatic accruals of fees and rebates on a scheduled basis.		Daily and monthly accruals are required for institutional and regulated broker environments.
Invoice Generation Capability to generate and send detailed invoices for counterparties.		Invoice generation is a standard feature in lending platforms managed at scale.
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

Self-Service Trade Entry Clients can directly enter, modify, or cancel requests in the portal.		Self-service portals allowing direct entry, modification/cancellation are common; real-time functionality is highlighted.
Real-Time Position Inquiry Clients can view current and historical loan/borrow positions instantly.		Real-time inquiry into lending positions is referenced.
Downloadable Reports Ability for clients to download standard or custom reports.		The mention of data/analytics access to clients infers downloadable reports.
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.		Automated notifications for key lending events expected in any platform offering real-time analytics.
Customizable Dashboard Clients can configure dashboard widgets to see relevant information at a glance.		No information available
API Availability APIs are provided for programmatic access to data and workflows.		API availability is common for fintech platforms offering real-time data feeds to clients.
Multi-Language Support Portal is available in multiple languages.		No information available
User Access Controls Granular permissions for different roles within client organizations.		No information available
Response Time Average query or report delivery time via the portal.		No information available

Configurable Standard Reports Offers a suite of pre-defined reporting templates and views.		Configurable standard reports are typical, implied by references to real-time and downloadable analytics.
Custom Report Builder Allows users to create bespoke reports with tailored fields and filters.		No information available
Real-Time Trade Analytics Dashboard of live statistics (e.g., volumes, rates, counterparties).		Real-time analytics dashboard is referenced as a core advantage.
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.		No information available
Ad-hoc Query Capability Supports direct database queries for non-standard data needs.		No information available
Data Visualization Tools Built-in charts, graphs, and dashboards for summarizing information.		Data visualization (charts, dashboards) mentioned with real-time analytics.
Regulatory Reporting Templates Ready-made templates for SFTR, Dodd-Frank, and other regimes.		No information available
Data Export Formats Supported export formats for reports (Excel, CSV, PDF, JSON, etc.).		Downloadable reports are cited—implies support for various export formats.
Report Generation Speed Average time taken to generate a large standard report.		No information available

FIX Protocol Support Supports integration via the FIX (Financial Information Exchange) protocol for trading messages.		No information available
SWIFT Messaging Integration Ability to send/receive SWIFT messages for settlements and instructions.		No information available
Third-Party Market Data Feeds Integrates with external market data providers for pricing, rates, etc.		No information available
API Integration Rich APIs for integration with other front-to-back office systems.		API and system integrations are highly likely based on real-time and advanced workflow references.
Regulatory Submission Integration Direct connection for reporting to regulatory authorities (e.g., SFTR, EMIR).		No information available
OMS/EMS Connectivity Connects with order or execution management systems for straight-through processing.		OMS/EMS connectivity is a core requirement—platform supports brokerage back-office workflows.
Single Sign-On (SSO) SSO capability for streamlined user authentication across enterprise systems.		No information available
Portfolio Management System Integration Supports data exchange with portfolio/asset management tools.		Portfolio system integration is expected for a platform serving large broker clients.
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

Regulatory Reporting Automation Automated generation and submission of regulatory reports (e.g., SFTR, Dodd-Frank).		No information available
Audit Trail Capability Comprehensive records of all system activity, changes, and user actions.		Audit trail is a compliance requirement and standard for US brokerage platforms.
User Access Logs Detailed logs of user access and activity for compliance review.		User activity logs needed for regulatory compliance and standard in brokerage environments.
Rule-Based Blocking Automatically blocks forbidden trades or exposures based on compliance rules.		No information available
Customizable Compliance Rules Engine Supports custom compliance requirements with business logic enforcement.		No information available
KYC/AML Integration Links with KYC (Know Your Customer) and anti-money laundering checks.		No information available
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.		Data privacy and masking is required for US institutions—standard in financial tech.
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 dashboard is standard for regulatory and lending oversight.

Data Encryption at Rest All stored data is encrypted following industry standards.		Data encryption at rest is cited as a requirement for SEC and brokerage environments.
Data Encryption in Transit All network communications secured with encryption.		Data encryption in transit is a minimum requirement for modern brokerage and cloud-based systems.
Uptime SLA Guaranteed service uptime as per service-level agreement.		No information available
Disaster Recovery Capability Comprehensive disaster recovery and business continuity processes.		No information available
24x7 Technical Support Round-the-clock technical support services available.		No information available
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.		User role segregation is required for compliance and security on financial technology platforms.
Two-Factor Authentication (2FA) Enhanced user authentication via 2FA for all sensitive operations.		Sensitive operations in fintech regularly mandate use of 2FA.
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.		All brokerage and clearing operations require comprehensive system audit logging.

Apex Securities Lending from Apex Clearing

Product analysis by function

Securities Lending Platforms for Operations

Trade Execution and Management (5 Yes /5 Known /11 Possible features)

Collateral Management (1 Yes /1 Known /11 Possible features)

Risk Management and Limits (1 Yes /1 Known /10 Possible features)

Corporate Actions Processing (4 Yes /4 Known /10 Possible features)

Settlement and Reconciliation (2 Yes /2 Known /10 Possible features)

Fee and Revenue Management (4 Yes /4 Known /10 Possible features)

Client Portal and Communication (5 Yes /5 Known /10 Possible features)

Reporting and Analytics (4 Yes /4 Known /10 Possible features)

Integration and Interoperability (3 Yes /3 Known /10 Possible features)

Compliance and Regulatory (4 Yes /4 Known /10 Possible features)

Security, Reliability, and Support (5 Yes /5 Known /10 Possible features)