An integrated platform for agency securities lending including trade management, collateral processing, analytics, investor reporting, and compliance controls.
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. |
Product documentation mentions the platform facilitates automated matching of loans and borrows, reducing manual processes. | |
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Partial Fill Support Ability to partially fulfill lending/borrowing requests if full quantity unavailable. |
Industry standard for agency lending platforms; partial fills are consistently supported and referenced in sector practices. | |
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Multi-Asset Class Support Handles securities across equities, fixed income, ETFs, etc. |
Collateral section indicates support for multiple asset classes, common for major agency lending platforms. | |
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Real-Time Trade Booking Enables instant booking and confirmation of trades. |
Wells Fargo platform is described as real-time and highly automated for booking and confirmation. | |
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Trade Amendments Ability to modify trade details post-execution under controlled processes. |
The platform allows post-trade amendments as needed per compliance policies (standard capability). | |
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Bulk Upload/Processing Supports batch entry and processing of multiple trade instructions. |
Bulk trade upload and processing is typical and is referenced in digital workflow features. | |
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Trade Status Tracking Monitor the complete lifecycle/status of trades in real-time. |
Real-time lifecycle tracking mentioned as foundational for lender and borrower reporting. | |
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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. |
Platform provides locked-in confirmation with enforceable modification controls. | |
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Fail Management Automated tracking and management of failed trades and recalls. |
Fail management and recalls are specifically noted as managed automatically. | |
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Trade Capacity Total number of trades that can be handled per day. |
No information available |
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Eligible Collateral Types Ability to define and manage a list of accepted collateral types and criteria. |
Collateral management features include eligibility configuration for many types/assets. | |
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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. |
Custom haircut management is a standard feature in agency lending platforms. | |
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Margin Call Automation System generates margin calls automatically based on shortfalls. |
Margin call processing is fully automated according to product category and industry practice. | |
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Collateral Substitution Allows counterparties to substitute collateral in live contracts. |
Collateral substitution indicated as supported in collateral workflows. | |
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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. |
Pooling from multiple sources and optimal allocation are referenced in platform description. | |
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Collateral Shortfall Alerts Sends automated alerts for under-collateralization. |
The platform automatically provides shortfall alerts as part of risk controls. | |
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Collateral Inventory Management Monitors and reports the current collateral held and available. |
Inventory management for collateral included within reporting and analytics. | |
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Support for Triparty Collateral Integration with triparty agents and corresponding workflows. |
Triparty workflow support indicated as a capability for major lending clients. | |
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Collateral Reporting Frequency Number of collateral status/valuation reports generated per day. |
No information available |
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Counterparty Exposure Limits Ability to set and monitor exposure per counterparty in real time. |
Risk section in the platform covers monitoring real-time exposure per counterparty. | |
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Concentration Risk Monitoring Tracks exposure by security, sector, or issuer for concentration limits. |
Portfolio risk tools track exposures by multiple dimensions (issuer, sector, asset). | |
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Settlement Risk Analysis Tools to evaluate and monitor potential failures/settlement delays. |
Settlement risk reporting tools featured in risk and compliance module. | |
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Automated Breach Alerts Real-time notification when pre-set exposure or risk thresholds are breached. |
Alerts for threshold breaches indicated as real-time notifications. | |
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Dynamic Limit Adjustment Automatically adjusts limits based on pre-defined rules or conditions. |
Rules-based automated adjustment of limits on exposure/collateral present in platform. | |
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Value at Risk (VaR) Calculation Built-in VaR tools specifically for lending/borrowing exposures. |
VaR (Value at Risk) calculation tools described as available for risk analysis. | |
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Stress Testing Capability Runs scenario analysis to test positions against market stress. |
Stress/scenario analysis tools included per analytics and risk reporting summary. | |
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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. |
Recall risk is managed with proactive alerts as part of the risk workflow. | |
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Maximum Exposure Capacity Maximum allowed exposure to any single counterparty. |
No information available |
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Dividend Processing Automated recognition and payment/allocation of dividends for loaned securities. |
Automated dividend processing supported for all standard escurities lending operations. | |
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Tax Withholding/Adjustment Calculates and implements withholding tax adjustments where applicable. |
Tax withholding and adjustments for cross-border/US sourced income are referenced in platform features. | |
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Mandatory/Voluntary Actions Support Differentiates and processes both mandatory (splits) and voluntary (rights) actions. |
Both mandatory/voluntary action support described in the context of global corporate actions. | |
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Recall Automation for Corporate Actions Automated recalls triggered by upcoming corporate actions that affect lent securities. |
Recall automation is a requirement and referenced in industry material and platform brochures. | |
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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. |
Claims management for missed actions or reconciliation issues is indicated as part of reporting. | |
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Proxy Voting Support Functionality for recalling securities to support proxy voting rights. |
Support for recalling securities for proxy voting present in product documentation. | |
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Action Instruction Cut-Off Handling Automated enforcement of instruction deadlines for voluntary events. |
Cut-offs and enforcement for voluntary events detailed in workflow management descriptions. | |
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Reconciliation of Entitlements Ensures correct entitlements post-corporate action event. |
Entitlement reconciliation is part of the core workflows for compliance. | |
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Reporting on Corporate Actions Generation of detailed reports on actions affecting loans/borrows. |
Detailed corporate action event reporting is a product highlight. |
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Automated Settlement Instructions (SWIFT) Generation and transmission of standardized settlement messages for cash/securities movements. |
Product supports generation of SWIFT settlement instructions. | |
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Real-Time Settlement Monitoring Display and status updates of settlement progress in real-time. |
Settlement status display with real-time progress updates included. | |
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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. |
Fail tracking is cited as an automation within settlement workflows. | |
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Cash Movement Integration Ability to automatically execute and record cash settlements. |
Cash settlement execution is available for both fees and principal/types. | |
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Automated Reconciliation System automatically matches internal records with external confirmations/statements. |
Automated reconciliation featured for both internal and external confirms. | |
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Exception Management Workflow Structured workflow for investigating and resolving unmatched items. |
Structured exception workflows for reconciliation are indicated as 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. |
Multi-currency settlement capabilities referenced for global activity. | |
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Central Counterparty (CCP) Connectivity Integration with CCPs for clearing and settling eligible trades. |
CCP connectivity is a standard integration for agency securities lending providers. |
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Automated Fee Calculation Calculation of lending fees, rebates, and revenue based on contracts. |
Automated lending fee and rebate calculation is cited as a system feature. | |
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Multi-Tiered Pricing Support Fee schedules can vary by client, asset, size, or other criteria. |
Fee schedules can be customized according to client/asset classes. | |
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Revenue Attribution Allocation of earned revenue to relevant business units or clients. |
Revenue attribution to clients/business units from lending is referenced in reporting. | |
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Daily/Monthly Accruals Calculation Automatic accruals of fees and rebates on a scheduled basis. |
Scheduled fee and rebate accruals automated for daily/monthly cycles. | |
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Invoice Generation Capability to generate and send detailed invoices for counterparties. |
Invoice generation and billing are noted as available to clients. | |
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Tax Calculation Integration Automated calculation of applicable taxes on earned fees. |
Tax calculation and integration cited especially for US and global requirements. | |
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Retrocession/Revenue Sharing Support Handles sharing of revenues with originators or third parties. |
Revenue sharing with agent lenders/third parties is supported in the platform fee engine. | |
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Dispute Management Workflow for reviewing and resolving fee/revenue disputes. |
Dispute management workflows configured for revenue/fee discrepancies. | |
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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. |
Exception detection routines described for unusual or outlier fees. |
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Self-Service Trade Entry Clients can directly enter, modify, or cancel requests in the portal. |
Self-service portal for trade entry/modification referenced in product outline. | |
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Real-Time Position Inquiry Clients can view current and historical loan/borrow positions instantly. |
Clients can access real-time position and loan histories in the portal. | |
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Downloadable Reports Ability for clients to download standard or custom reports. |
Downloadable reports in multiple formats listed as an available feature. | |
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Secure Messaging In-platform two-way communication channels for support and queries. |
Secure communication (messaging) present in client and compliance portals. | |
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Notifications and Alerts Automated notification emails or alerts for key events. |
Automated notifications and alerts provided for all key actions/events. | |
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Customizable Dashboard Clients can configure dashboard widgets to see relevant information at a glance. |
Dashboard elements can be customized per user in the portal. | |
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API Availability APIs are provided for programmatic access to data and workflows. |
API access for workflows and client integration cited as a product capability. | |
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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. |
Granular user/role access controls included for institutional/agency requirements. | |
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Response Time Average query or report delivery time via the portal. |
No information available |
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Configurable Standard Reports Offers a suite of pre-defined reporting templates and views. |
Configurable standard report templates available to clients. | |
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Custom Report Builder Allows users to create bespoke reports with tailored fields and filters. |
Custom report builders referenced (drag-and-drop fields, filters, etc). | |
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Real-Time Trade Analytics Dashboard of live statistics (e.g., volumes, rates, counterparties). |
Real-time analytics dashboard referenced in analytics and trade reporting. | |
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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. |
Automated delivery/distribution of scheduled reports (daily/monthly/custom) is industry standard. | |
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Ad-hoc Query Capability Supports direct database queries for non-standard data needs. |
Ad-hoc queries for data extraction described as available to support custom needs. | |
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Data Visualization Tools Built-in charts, graphs, and dashboards for summarizing information. |
Data visualizations (charts, graphs, dashboards) available for summarized reporting. | |
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Regulatory Reporting Templates Ready-made templates for SFTR, Dodd-Frank, and other regimes. |
Regulatory reporting templates available for common regimes (e.g. SFTR, Dodd Frank). | |
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Data Export Formats Supported export formats for reports (Excel, CSV, PDF, JSON, etc.). |
Reports can be exported in Excel, PDF, and other common formats. | |
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Report Generation Speed Average time taken to generate a large standard report. |
No information available |
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FIX Protocol Support Supports integration via the FIX (Financial Information Exchange) protocol for trading messages. |
FIX protocol support is industry standard and referenced for trade messaging. | |
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SWIFT Messaging Integration Ability to send/receive SWIFT messages for settlements and instructions. |
Full SWIFT messaging integration covered under settlement instructions. | |
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Third-Party Market Data Feeds Integrates with external market data providers for pricing, rates, etc. |
References integrations to market data vendors for pricing/valuation. | |
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API Integration Rich APIs for integration with other front-to-back office systems. |
APIs for connecting to other bank and client systems provided. | |
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Regulatory Submission Integration Direct connection for reporting to regulatory authorities (e.g., SFTR, EMIR). |
Regulatory reporting integration (e.g. SFTR, EMIR) is listed in features. | |
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OMS/EMS Connectivity Connects with order or execution management systems for straight-through processing. |
OMS/EMS connectivity supported as part of front-to-back integration. | |
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Single Sign-On (SSO) SSO capability for streamlined user authentication across enterprise systems. |
Single Sign-On included for enterprise authentication. | |
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Portfolio Management System Integration Supports data exchange with portfolio/asset management tools. |
Data exchange/interoperability with portfolio/asset management tools. | |
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Settlement Network Integration Connectivity to major settlement networks and CCPs. |
Integration with major settlement networks and CCPs supported. | |
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Integration Speed Average time required to onboard a new integration (estimation). |
No information available |
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Regulatory Reporting Automation Automated generation and submission of regulatory reports (e.g., SFTR, Dodd-Frank). |
Regulatory reporting and submission is highly automated for agency lending operations. | |
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Audit Trail Capability Comprehensive records of all system activity, changes, and user actions. |
Complete activity and change audit trails are industry requirement and part of platform security/controls. | |
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User Access Logs Detailed logs of user access and activity for compliance review. |
User access and login activities tracked for compliance and audit. | |
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Rule-Based Blocking Automatically blocks forbidden trades or exposures based on compliance rules. |
Rule-based compliance engine with automated blocking referenced in controls. | |
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Customizable Compliance Rules Engine Supports custom compliance requirements with business logic enforcement. |
Platform supports custom compliance rules with business logic enforcement. | |
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KYC/AML Integration Links with KYC (Know Your Customer) and anti-money laundering checks. |
KYC/AML integrations mentioned in regulatory compliance references. | |
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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. |
Sensitive data masking is a requirement in banking operations for non-privileged users. | |
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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. |
Regulatory dashboard and compliance reporting included per platform description. |
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Data Encryption at Rest All stored data is encrypted following industry standards. |
Encryption at rest is a baseline security control in bank-operated SaaS platforms. | |
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Data Encryption in Transit All network communications secured with encryption. |
All data in transit is encrypted (SSL/TLS) as per bank standards. | |
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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. |
Business continuity and disaster recovery plans are standard and referenced. | |
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24x7 Technical Support Round-the-clock technical support services available. |
24x7 support mentioned in client resources and SLA summaries. | |
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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. |
User roles and permissions segregation referenced for platform controls. | |
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Two-Factor Authentication (2FA) Enhanced user authentication via 2FA for all sensitive operations. |
Two-factor authentication provided for sensitive operational access. | |
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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. |
Comprehensive system audit logs available for all configuration and security events. |
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