Our integrated post trade services offer comprehensive modules and tools to manage corporate actions, custody, treasury, cash, margin lending, capital raisings and more.
Post Trade Services
The SecuritEase® System offers comprehensive fully integrated post-trade services that streamline stockbroking and wealth management support functions.
These include modules for custody, corporate actions, cash management, margin lending, treasury management, tax compliance, and capital raising processing.
These capabilities enhance operational efficiency, ensure compliance, and provide seamless real-time integration across critical back-office processes.
Initial Public Offerings - IPOs
The SecuritEase® System IPO module streamlines the management of capital raising activities, including IPOs, placements, and block trades, for both debt and equity assets.
The module enables IPO Managers to define issue parameters, allocate quantities to sites, branches, and advisers, and set commission rates. It offers flexibility in managing the stages of the issue, allowing for either strict date validation or multi-stage processing without date precedence checks.
The system supports proportionate allocation of issues based on quantity or value and provides two processing models:
1. On-market trades processing; and,
2. Direct registry interaction processing.
It also facilitates bulk uploads of allocations and expressions of interest via CSV files and Microsoft Excel, enhancing efficiency.
Additionally, the SecuritEase API allows customer portals to collect client expressions of interest - EOIs directly, reducing manual data entry. Commission processing can be seamlessly executed once client allocations are finalised, ensuring accurate and timely compensation.
Cash Management
The SecuritEase® System Cash Management module provides comprehensive multi-currency cash management capabilities, tailored to meet the diverse needs of financial institutions and their clients.
The system supports tiered interest rates, which can be customised for client groups or individuals, and includes daily interest accruals, monthly or quarterly compounding, and the ability to handle negative interest rates.
Automation of key processes including regular repayments, deposits, and cash sweeping to and from banking systems, ensures efficient and accurate cash flow management.
Fully integrated with the SecuritEase Settlement System, the Cash Management module enables seamless fund availability checks for cash withdrawals and supports a streamlined account close-out process that accurately calculates and pays interest up to the closure date.
The module also offers robust reporting features, including customised client statements and compliance with tax regulations like FATCA and CRS, ensuring that all financial activities are thoroughly documented and compliant with global standards.
In addition to its powerful automation and integration features, the module reconciles omnibus external cash bank accounts with individual client holdings and allows for customisable tax deductions at source. This ensures that your cash management operations are not only efficient but also fully aligned with regulatory requirements, providing a reliable and compliant solution for managing client funds.
Margin Lending
The SecuritEase® System Margin Lending Module offers a versatile and secure solution for managing collateral across a wide range of asset types, including equities, bonds, derivatives, hybrid instruments, and real property.
Clients can pledge collateral for their own or third-party accounts, with the flexibility to handle assets and loans in multiple currencies.
The system’s robust collateral management ensures that assets are controlled and cannot be released without lender approval, providing a high level of security and operational efficiency.
The module supports a hierarchy of Loan to Value Ratios (LVRs) that can be customised based on client profiles and specific instruments, with special provisions for non-residents and different LVRs for long and short positions.
The system automatically calculates margin calls and adjusts LVRs in response to market changes, helping to mitigate risk and maintain financial stability. Margin calculations, including for unsettled transactions, ensure that clients are aware of their positions and any potential margin requirements.
Settlement processes are streamlined through automatic delivery versus payment (DvP) settlement, with options for both manual and automated settlements via SWIFT messaging.
The module supports several loan types, including variable and fixed, with flexible interest calculation methods tailored to each client’s needs. Interest can be accrued nightly and charged monthly or prepaid, with options for capitalisation or payment from cash accounts.
The Margin Lending Module also offers advanced features including support for:
corporate actions
options trading
short selling
scrip and stock lending management
Customised client reporting ensures that all transaction and portfolio details are clearly communicated, allowing clients to manage their financial positions with confidence and transparency.
Treasury
The SecuritEase® System Treasury module allows financial institutions to efficiently manage their treasury investments and liquidity requirements across multiple currencies.
The module allows for the establishment and management of targeted investment portfolios, and return optimisation through the active management of multiple asset class instruments including at call and term deposits across various deposit-taking organisations.
Comprehensive integrated tools are included to manage liquid capital requirements so that client funds are always adequately covered.
The Treasury Module offers robust risk management capabilities, automatically applying policies to manage concentration, credit, duration, and investment risks. By setting minimum acceptable credit ratings, limiting exposure to individual investments, and managing liquidity requirements, the system ensures that treasury operations remain secure and aligned with organisational goals.
Integration with SecuritEase® System settlement processing provides full visibility of client funds, further enhancing liquidity management.
In addition to risk management, the module allows for the setting of investment parameter targets and customised tolerance bands, with automated monitoring and reporting on any deviations. The system also automatically rebalances the treasury portfolio to realign with target positions, ensuring that investments remain optimised and compliant with treasury risk management policies.
This comprehensive approach to treasury management helps institutions maximise returns while maintaining strict control over risks.
Custody
The SecuritEase® System Custody module offers a comprehensive solution for managing security and cash holdings at bulk custody and individual client levels through a multi-level omnibus account hierarchy structure.
The module supports detailed record-keeping of securities (equities, fixed income, managed funds, and cash) and entitlement balances, enabling precise "as at date" reporting.
The module automates processing for Ex and Record dates, income allocation, and mandatory corporate actions, providing automated efficiency and accuracy in managing client assets.
International settlement is facilitated through aggregate settlement with sub-custodians and provides robust support for FATCA and CRS compliance, including automated tax deduction processing and top-up tax calculations.
Integration with the SecuritEase Fees and Billing module ensures seamless financial management, while comprehensive reporting capabilities, including client statements and reconciliation reports provide transparency and control over custody operations.
Automated reconciliation processes, using file extracts from registries and custodians, or via SWIFT messaging, further enhance the module's ability to manage complex custody requirements with minimal manual intervention.
The Custody Management module is designed to streamline operations, ensure compliance, and provide detailed, accurate reporting to meet the needs of financial institutions and their clients.
Corporate Actions
The SecuritEase® System Corporate Actions module streamlines the management of all corporate actions globally.
Mandatory, mandatory-with-choice, and elective corporate actions (ECAs) are all supported. Where a corporate action treatment is mandatory, automated straight through processing can be configured.
Where house, adviser, or client elections are required, the system automatically identifies the clients entitled to participate, regardless of whether their holdings are held in direct, pooled, or individual custody.
The module offers API-based ECA processing, allowing customer portals to collect client elections directly, reducing the need for manual data entry.
It supports a wide range of event types, including Renounceable Rights, Non-Renounceable Rights, Share Purchase Plans, Takeovers, Voting, and other miscellaneous events, ensuring comprehensive and seamless management of corporate actions for your clients.
The system sends email notifications to advisers and clients, records their instructions or elections, and processes any resulting allocations efficiently.
Foreign Withholding Tax and Qualified Intermediary
The SecuritEase® System integrated Foreign Withholding Tax and Qualified Intermediary capabilities simplifies the management of foreign tax withholding and qualified intermediary (QI) compliance by recording client and instrument data through API, file import, or manual entry.
The system handles multiple foreign withholding tax regimes simultaneously, such as W-8 and DWT, with customisable validation and accounting functions to suit your specific needs.
Daily data validation ensures the accuracy and consistency of documentation, correlating physical and tax residency records, while seamless integration with corporate action processing automatically determines withholding tax levels from foreign-sourced income.
The module also calculates and stores individual tax obligations, generates the IRS 1042S Electronic Report, and ensures timely remittance to relevant tax authorities, providing a comprehensive solution for global tax compliance.
Reporting and Client Communications
The SecuritEase® System integrated Reporting and Client Communications capabilities offer a powerful and flexible reporting subsystem designed to meet your specific needs.
The system offers over 700 pre-defined reports or you can develop customised, presentation-quality reports that are easily displayed on-screen, printed, or exported in various formats including PDF, Word, and Excel.
The system supports automated report generation on customised schedules, ensuring timely and accurate information delivery.
To streamline your operations further, the system automatically distributes these reports to the intended recipients via email, secure file delivery (sFTP), or system APIs enhancing efficiency and communication.
Whether you need detailed financial statements, performance analyses, or client summaries or confirmation notes our reporting capabilities ensure that you have the tools to deliver high-quality, tailored information with ease.