Broadridge collateral management and securities financing solutions

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1 Broadridge collateral management and securities financing solutions

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3 The global collateral management and securities financing challenge Changes in global financial regulations and enterprise risk practices put optimized collateral management and securities financing at the center of every firm s treasury, trading, risk and operations activities. Regulators are increasingly looking at collateral management policy and practice as the key method of controlling global market and counterparty risk. In addition, securities financing and collateral management programs are being scrutinized for regulatory compliance, operational efficiency and business controls. This focus will become even more pronounced given the anticipated increases in collateral requirements and movements. Firms must transform their collateral management and securities financing functions to address these challenges. Every firm engaged in collateralized activity must work to aggregate assets and efficiently manage their collateral and securities financing operations. 2

4 Broadridge believes that this evolving environment offers tremendous potential for forward thinking firms to gain competitive advantage. By capitalizing on the synergies between collateral management and securities financing, firms can focus on optimizing collateral to reduce risk, improve liquidity and ultimately increase revenue. RISK LIQUIDITY SECURITIES FINANCING OPTIMIZATION COLLATERAL MANAGEMENT REVENUE 3

5 Scalable enterprise collateral and financing solutions Advanced collateral management and securities financing solutions coupled with Broadridge s global securities processing capabilities empower firms to handle current and future challenges with confidence. Leveraging our suite of enterprise collateral and securities management tools, sell side and buy side organizations can quickly and economically upgrade their capabilities. Firms that are engaged in fixed income, equities or derivatives trading activities can trust Broadridge to help them manage the post trade process. With our CollateralPro, FinancePro and associated securities processing solutions, Broadridge offers a powerful infrastructure designed to help firms deal with the increasing complexity of collateral management and securities financing. Fixed Income Repo (FinancePro) Equities Security Lending (FinancePro) Derivatives Trading Collateral Management (CollateralPro) Repo Agreements, Inventory Management, Margin Calculations, Settlement Instructions Messaging Securities Lending OTC Derivatives Cleared Derivatives Collateral Optimization Margin STP Services (AcadiaSoft) Back-Office Systems (Impact, BPS, Gloss, Other) 4

6 FinancePro For financial services firms that need to optimize and scale their securities lending and repo businesses while managing liquidity risk and meeting regulatory and business control requirements Broadridge offers FinancePro : a global, multi-asset financing solution, which offers comprehensive tracking and management of financing transactions throughout the entire trade lifecycle. FinancePro offers a streamlined approach to help your firm optimize your securities funding activities: Enable better collateral decisions through enterprise-wide views of securities funding needs Reduce operational and market risk through advanced business and work-flow controls Scale repo and securities lending desks efficiently through straight-through processing tools CollateralPro For firms who want to meet risk and regulatory challenges while optimizing their collateral management operations Broadridge offers CollateralPro. A highly scalable, multi-asset solution which improves the entire collateral lifecycle, CollateralPro helps your firm: Optimize collateral across geographies, business lines and asset classes Reduce manual intervention and valuable time spent on routine tasks by automating operations Enhance decision making through reporting and consolidated position management, strengthening risk mitigation and liquidity oversight Support counterparty risk management through sophisticated workflow tools to meet internal and external requirements, aiding CVA and risk desks with real-time analytics Capital charges are having important impacts on securities financing across securities lending and repo. Meanwhile, traditional capital markets activities including futures and synthetic financing offer new alternatives to meet client needs. Managing this mix of cleared and noncleared business activities under one collateral management umbrella is an important new task for both the sell-side and buy-side. Josh Galper, Finadium (2014) 5

7 What makes Broadridge different? Proven Experience. With over 50 years of continued operational excellence, Broadridge understands your firm s needs from trading through settlement. Our experience in processing over US$5 trillion in fixed income and equity trades daily has taught us that in financial markets, getting it right the first time is critical. Established Integration. Broadridge products are well integrated into the vendors that financial institutions need for efficient collateral management and securities financing, including North American, European and APAC messaging utilities, tri-party agents and CSDs. Flexible Deployment. Broadridge s solutions are offered on an ASP, managed service, or licensed basis. This means that you can remove the operational burden of technology support for this important process, or assume it directly if desired. Global Support and Security. Broadridge is committed to your firm and the technologies on which you rely. As one of only nine US financial industry providers to receive ISO certification, our Tier III-Plus data centers ensure the security of your data. 7

8 ABOUT BROADRIDGE Broadridge is a global technology and operations provider dedicated solely to the financial services industry. We deliver technology-driven solutions in capital markets, wealth and investment management. As the pressures of regulation, operational efficiency, and risk migration grow, we enable our clients to mutualize cost for specific functions or the entire operations. Broadridge s deep domain expertise combined with our technology and managed operational services, position our clients to transform and to achieve operational excellence, manage IT complexity, better control risk and develop practical approaches to address regulation. Broadridge Global Office Locations London: New York: Toronto: Frankfurt: Geneva: Prague: Johannesburg: Hong Kong: Tokyo: Singapore: Sydney: Hyderabad: +91 (0) MKT_521_14 No part of this document may be distributed, reproduced or posted without the express written permission of Broadridge Financial Solutions Inc Broadridge Financial Solutions, Inc. Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc. global@broadridge.com broadridge.com