SECURITIES FINANCE

Stock Lending
Repo
Trade Cost Analysis
Inventory Management 
Regulatory Capital
Loan Book Risk

Overview

Softek provides a cost effective hosted solution to manage capital, liquidity, concentration and credit on a customer and firm wide basis. Softek aggregates account level portfolio positions and transactions on both a daily and intraday basis. Softek produces reports centered on margin, credit, and liquidity which supports an array of regulatory requirements as well as firm specific house margin policies.

Implementation and Care

Nothing is more important to our organization than each of our working colleague's commitment to the highest quality ethical standards. Together they form a dedicated group of technical, industry and client-care professional experts readily available to assist in addressing customer issues with prompt and efficient solutions at all times.

Asset Class

OTC

Equities

Derivatives

Fixed Income

Commodities

Asset Backed

Foreign Exchange

Service Benefits

Softek’s highly flexible service for Securities Finance gives you the ability to:

Manage

Credit, Concentration and Liquidity risk in near real-time across all counterparties.

 

FINRA 15c3-3 stock loan and 15c3-1 borrow/loan charges.

Optimize the pool of assets based on client money segregation, firm loan book and Prime Broker re-hypothecation.

 

HQLA, NSFR and LCR reporting and understand your total cost of trade.

Margin requirements for customers, trading desks, and the firm.

 

Integrate

Trades & positions from multiple sources across all counterparties.

DTCC Cash and Non-cash files as well as user provided borrow/loan data from systems such as Loanet, Global 1 and any third party or proprietary system.

Positions into one risk and margin platform.

Softek reports into existing in-house systems.

 

Comply

With the Agent Lending Disclosure Initiative.

With regulatory requirements from SEC / FRB, FINRA, IIROC & Basel III.

With bespoke credit policies.

Report

On capital adequacy, credit and compliance activities.

Intraday or end of day or both.

In various formats such as XML, CSV and PDF

6 Million+

Trades processed daily

Balance Sheet Impact

What Clients Tell us

"With increasing regulatory oversight the Softek platform streamlines the audit process"

"By combining the positions of many trading desks into one consolidated view Softek reduced our capital requirements significantly"

Proud to service clients regulated by:

  • Financial Industry Regulatory Authority U.S. (FINRA)

  • U.S Securities and Exchange Commission (SEC)

  • Investment Industry Regulatory Organization of Canada (IIROC)

  • Financial Conduct Authority U.K. (FCA)

  • Bank of England Prudential Regulation Authority U.K. (PRA)

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