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.
More Custody Management Systems
More Operations ...
|
Multi-currency Support Ability to manage accounts in various currencies. |
Apex supports custody in multiple asset classes and for international clients, suggesting robust multi-currency handling. | |
|
Sub-account Structure Enables creation and tracking of multiple sub-accounts under a primary account. |
Sub-accounts are standard in broker-custodian models to enable client, advisor, and entity-level account structuring. | |
|
Account Tiering Supports account segmentation for different service or compliance levels. |
No information available | |
|
Automated Account Opening Provides automated workflows for new account onboarding. |
Apex highlights automated onboarding and account opening for broker-dealer clients. | |
|
Client Data Validation System automatically checks and validates client data during account onboarding. |
Automated onboarding implies client data validation during account creation. | |
|
Account Status Tracking Tracks status (active, closed, suspended) for each account. |
Account status management is necessary for all custody providers; status tracking is required for regulatory purposes. | |
|
Bulk Account Management Ability to perform mass actions on multiple accounts, such as updates or closures. |
Bulk account management is typical in institutional custody workflows, especially for brokers managing many accounts. | |
|
Document Management Stores and manages supporting documents for each account. |
Document management (KYC documents, agreements, etc.) is a core regulatory function in custody. | |
|
Automated KYC Checks Performs automated Know Your Customer (KYC) checks during onboarding and periodically. |
Apex emphasizes automated compliance and onboarding, which includes KYC checks. | |
|
Account Hierarchy Visualization Visualizes parent-child relationships between related accounts. |
No information available | |
|
Account Data Encryption Ensures that all sensitive account data is encrypted at rest and in transit. |
Apex's documentation refers to advanced data security. | |
|
Custom Account Fields Allows addition of custom data fields for specific business requirements. |
Custom account fields are common for B2B custody platforms serving brokers with bespoke requirements. |
|
Real-time Position Tracking Monitors all positions (securities, cash, etc.) in real-time. |
Apex advertises real-time holdings and positions for client portals and integration APIs. | |
|
Holdings Reconciliation Supports matching and reconciling of positions with external sources. |
Holdings reconciliation with DTCC and other custodians is a standard function. | |
|
Corporate Actions Processing Automated handling of corporate actions like dividends, mergers, splits, etc. |
Corporate actions processing is a core requirement for any broker-custodian. | |
|
Multi-Asset Class Support Supports custody and management of various asset classes (equities, fixed income, derivatives, etc.). |
Apex lists equities, ETFs, mutual funds, alternatives, and crypto—evidence for multi-asset class support. | |
|
Asset Transfer Management Facilitates transfers of assets in and out of custody, including DVP/RVP. |
Asset transfer and DVP is part of standard broker-custody workflows. | |
|
Automated Valuations Systematically values client assets at specified intervals. |
Apex enables regular asset valuations for client reporting. | |
|
Historical Position Reporting Ability to report historical positions as of particular dates. |
Historical holdings and tax reporting are available via portal/API. | |
|
Position Limits Monitoring Monitors client and firm-level position limits with alerting. |
. | No information available |
|
Missing/Break Reporting Identifies and reports on missing or broken position records. |
. | No information available |
|
Asset Classification Classifies assets by custom attributes and standardized taxonomies. |
Asset classification by attributes and taxonomies is typical for reporting. | |
|
Physical Security Custody Supports tracking and safekeeping of physical securities/certificates. |
. | No information available |
|
Automated Fee Calculation Calculates and posts custody/holding fees based on positions. |
Fee calculation and posting is a service commonly automated in modern custody platforms. |
|
Trade Capture Automated integration with trade execution platforms to ingest trade data. |
Trade capture from execution venues is standard for broker-custody operations. | |
|
Straight Through Processing (STP) Supports end-to-end automation of transaction lifecycle without manual intervention. |
Apex promotes 'seamless' and 'automated' operations, implying STP support. | |
|
Exception Management Identifies and manages failed or unusual transactions for review. |
Exception management for failed or pending transactions is required for custody compliance. | |
|
Transaction Audit Trail Maintains a comprehensive log of actions and changes for all transactions. |
Comprehensive audit trails are a regulatory obligation. | |
|
Batch Processing Speed Number of transactions the system can process in a batch per hour. |
No information available | |
|
Multistep Approval Workflows Supports customizable, multi-level approval processes. |
Multi-level workflows are configurable on modern B2B custody software. | |
|
Backdating/Forward Dating Allows users to process transactions with effective dates in the past or future. |
. | No information available |
|
Reference Data Integration Automated enrichment and validation of transaction data using external reference data. |
Integration capabilities and transaction validation indicates reference data integration. | |
|
Reversal Handling Automated tools for reversing/correcting erroneous transactions. |
. | No information available |
|
Settlement Status Monitoring Tracks settlement progress for each transaction. |
Settlement tracking is inherent in all clearing and custody services. | |
|
Transaction Fees Calculation Calculates transaction-specific fees and charges. |
Transaction fee calculation is standard for custodians charging per-transaction. | |
|
Transaction Types Supported Number of different transaction types (buy, sell, transfer, etc.) supported. |
No information available |
|
Automated Bank Reconciliation Matches system transactions against bank statements automatically. |
Apex supports bank reconciliation and external data feeds. | |
|
Custodian Broker Reconciliation Automated reconciliation with counterparties and brokers. |
Custodian/broker reconciliation with counterparties is part of the standard service. | |
|
Customizable Report Templates Allows users to create custom report layouts and templates. |
Apex's portals and API allow for report customization. | |
|
Regulatory Report Generation Generates compliance reports for relevant jurisdictions. |
Apex's regulatory filings and reporting support compliance in multiple jurisdictions. | |
|
End of Day (EOD) Reporting Time Time taken to generate full EOD reports after market close. |
No information available | |
|
Exception Reporting Highlights discrepancies and breaks in transactions or positions. |
Exception reporting is necessary for reconciliation and operational oversight. | |
|
Scheduled and On-Demand Reports Enables both periodic scheduled reports and ad-hoc on-demand generation. |
Apex dashboards provide scheduled and on-demand reporting options. | |
|
Data Export Formats Supported Number of common export formats (CSV, PDF, XML, etc.) available. |
No information available | |
|
User Access to Reports Granular controls for who can access specific reports. |
Granular access and user permission control for reporting are described in documentation. | |
|
Multi-language Support Can produce reports in different languages for international clients. |
No information available | |
|
Audit Reporting Maintains a log of changes to reports and reconciliations. |
Audit logs for reports are part of best practices and regulatory compliance. | |
|
Aging of Reconciliation Breaks Tracks and reports how long reconciliation breaks have remained unresolved. |
. | No information available |
|
AML Screening Integrated anti-money laundering checks on accounts and transactions. |
Apex provides integrated AML functionality within its compliance suite. | |
|
Sanctions and Watchlist Screening Automated screening against updated sanctions lists and watchlists. |
Sanctions/watchlist screening required for broker-dealer and custody onboarding. | |
|
Automated Regulatory Filings Generates and files regulatory documents automatically where possible. |
Automated regulatory filings are part of Apex’s broker solutions. | |
|
GDPR/Privacy Compliance Tools Features to support compliance with global data privacy requirements. |
Product lists GDPR support for privacy regulation compliance. | |
|
Electronic Signatures Support Ability to store and validate digital or electronic signatures for compliance. |
Electronic signature compliance is mentioned in online onboarding and document workflow. | |
|
Audit Logging and History Comprehensive logs of user activity and system changes. |
Full audit logging and history are features detailed under security and compliance. | |
|
Configurable Compliance Checklists Customizable checklists to enforce firm or jurisdictional policies. |
Configurable compliance checklists are standard for onboarding different client types. | |
|
Regulatory Rule Updates Frequency How often system regulatory rules are updated for global compliance. |
No information available | |
|
Sensitive Data Masking Prevents unauthorized viewing of sensitive client data. |
Sensitive data masking is part of regulatory requirements and referenced under data privacy. | |
|
Real-Time Compliance Alerts Notifies users of compliance breaches or suspicious activity immediately. |
Real-time compliance and suspicious activity alerts are promoted in product literature. | |
|
Pre-Trade/Pre-Instruction Compliance Checks Ensures all trades/instructions are compliant before execution. |
Pre-trade compliance for trade orders is required by regulators and handled by the system. |
|
Secure Client Portal Provides clients with a secure, web-based access to their holdings and reports. |
Apex's client portals are described as secure and web-based. | |
|
Client Notifications and Alerts Automated notifications for key events, transactions, or issues. |
Client notifications/alerts for transactions, onboarding, settlement, etc. | |
|
Statement Generation Automatic creation and distribution of periodic client statements. |
Automatic statement generation and delivery to end clients is a core service. | |
|
Customizable Dashboard Widgets Clients can personalize their portal dashboards with relevant widgets. |
No information available | |
|
Chat and Messaging Integration Built-in secure communication between clients and operations teams. |
No information available | |
|
Online Instruction Submission Clients can submit instructions (transfers, asset movements) online. |
Online instruction submission for asset transfers is available via portal. | |
|
Real-Time Balance Updates Clients receive immediate updates to their balances following transactions. |
Real-time balance updates are featured for broker and end-client access. | |
|
Multi-Channel Communications Supports email, SMS, and in-app notifications. |
No information available | |
|
Document Upload and Download Clients can securely send/receive documents via the portal. |
Allows secure document uploads/downloads, particularly for account opening, KYC, etc. | |
|
Feedback Collection Tools Gather client feedback on service quality and portal usability. |
No information available |
|
Role-Based Access Control (RBAC) User access and permissions are governed by role assignments. |
Role-based access control is standard for all institutional custody solutions. | |
|
Multi-factor Authentication System requires two or more authentication methods for access. |
Multi-factor authentication for all institutional platforms is industry standard. | |
|
Single Sign-On (SSO) Support Allows access with single sign-on credentials integrated with enterprise systems. |
Single Sign-On support is common for B2B SaaS and referenced in integration options. | |
|
User Session Timeout Set duration after which inactive sessions log out automatically. |
No information available | |
|
Permission Auditing Tracks and reports on changes to user permissions. |
Permission changes and auditing are required for broker operations and compliance. | |
|
Data Encryption In-Transit Ensures all data transmitted over networks is encrypted. |
Data encryption in transit (TLS, etc.) is an industry baseline. | |
|
Data Encryption At-Rest All stored data is encrypted on disk or database. |
Encryption at rest is referenced in security commitments. | |
|
Intrusion Detection Monitors access attempts to detect and report intrusions. |
Intrusion detection systems are required for custodians and described in their security documentation. | |
|
IP Whitelisting/Blacklisting Restricts access to specific IP address ranges as needed. |
No information available | |
|
User Activity Monitoring Logs user activity for audit and traceability. |
User activity monitoring is implemented for audit and security purposes. |
|
API Availability Provides application programming interfaces (REST, SOAP, etc.) for third-party integrations. |
REST APIs are offered for digital broker-custody integrations. | |
|
File Format Flexibility Ability to support various file formats (CSV, XML, JSON, etc.) for data exchange. |
Apex supports multiple file formats for data ingestion and export. | |
|
SWIFT Messaging Support Natively integrates with SWIFT for secure financial messaging. |
SWIFT messaging supported for asset movement and payments. | |
|
FIX Protocol Integration Supports Financial Information Exchange (FIX) protocol for trade and order data. |
FIX protocol supported for trade data ingestion. | |
|
Core Banking Integration Can connect to core banking systems for settlement and cash processing. |
Apex integrates with core banking rails for cash and settlements. | |
|
Market Data Feeds Ingests live or historical market data for price validation and reporting. |
Live and historic market data feeds for real-time positions and valuations. | |
|
Data Warehouse/BI Integration Feeds consolidated data directly into enterprise BI and analytics platforms. |
Direct data/BI integrations are standard for broker or platform clients. | |
|
Batch and Real-Time Data Exchange Supports both scheduled batch and real-time data synchronization. |
Both batch and real-time data connectivity supported. | |
|
Integration Setup Time Estimated time to configure and enable a new integration. |
No information available | |
|
Third-party Vendor Support Certified integrations with major market infrastructures and external providers. |
Apex is certified with all major US market utilities and integrators. |
|
Concurrent User Capacity Maximum number of users who can actively use the system simultaneously. |
No information available | |
|
Transaction Throughput Maximum number of transactions system can process per second. |
No information available | |
|
Data Storage Capacity Total supported data volume without performance degradation. |
No information available | |
|
Horizontal Scaling Support Can system expand capacity by adding new servers or cloud instances easily. |
Apex is a cloud-based/elastic system, supporting horizontal scaling. | |
|
Load Balancing Supports distribution of incoming activity across multiple servers. |
Cloud-native architecture uses load balancing. | |
|
Disaster Recovery RTO Recovery Time Objective: Maximum targeted duration to restore system after failure. |
No information available | |
|
Disaster Recovery RPO Recovery Point Objective: Maximum data loss in case of disaster. |
No information available | |
|
System Response Time Average time for system to respond to standard user actions. |
No information available | |
|
Uptime Guarantee Guaranteed percentage of system availability. |
No information available |
|
Customizable User Interface System UI can be personalized to user or team preferences. |
UI customization for dashboards and portals supported. | |
|
Multilingual Interface Supports displaying user interface in multiple languages. |
Supports international clients, multiple UI language options available. | |
|
Mobile Device Support Can be accessed and used efficiently from mobile or tablet devices. |
Portals are optimized for mobile access; mobile app available. | |
|
Self-Service Help and Tutorials Includes built-in help, guides, and interactive tutorials for users. |
Help and self-service documentation is available online. | |
|
Intuitive Navigation Organized menus and workflows for ease of movement through the system. |
Portal and workflows are designed for streamlined navigation by brokers and end users. | |
|
Accessibility Compliance Meets standards for accessibility (e.g., WCAG compliance). |
No information available | |
|
Personalized Dashboards Each user can set up their own dashboard views. |
Each dashboard is user-personalizable. | |
|
Notification Center Centralized area for all user messages and alerts. |
Notifications and alerts are centrally managed via the Notification Center feature. | |
|
Drag-and-Drop Workflow Editors Users can visually customize workflows without programming. |
No information available | |
|
Quick Search Functionality Global, fast search capability across accounts, transactions, and positions. |
Quick search available for accounts, positions, and transactions via portals and API. |
|
24/7 Technical Support Access to technical support staff at all times. |
Apex provides 24/7 support per Service Level Agreement documentation. | |
|
User Training Programs Comprehensive onboarding and ongoing training for end-users. |
Training programs and collateral are provided for onboarding broker clients. | |
|
Service Level Agreement (SLA) Contracted commitments to system uptime and issue resolution. |
Apex offers contractual SLAs for uptime/issue resolution. | |
|
Release/Upgrade Frequency Number of software releases or upgrades per year. |
No information available | |
|
Custom Feature Development Vendor provides support for developing additional custom functionalities. |
Custom feature development is offered for broker/fintech partners. | |
|
Issue Resolution Time Average time to resolve reported issues or bugs. |
No information available | |
|
Dedicated Account Manager Assigned representative for ongoing relationship management. |
Every client is assigned a dedicated account manager. | |
|
User Community and Forums Access to community forums and user groups. |
No information available | |
|
Automated System Monitoring Vendor provides monitoring for system performance and outages. |
Continuous system monitoring is included in vendor's infrastructure and support. | |
|
Documentation Quality Comprehensive, searchable online documentation. |
Extensive documentation and searchable online resources are provided. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.