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Securities Markets Reconciliation



The reconciliation and matching of Securities may include the following options:
  • Statement of Holdings: Reconciliation between your accounting positions and MT 535
  • Statement of Transactions: Reconciliation between your accounting transactions and MT 536
  • SIC: Matching of Settlement Instructions (MT 540, 542, 544, 546) against Confirmations (MT 541, 543, 545, 547)
Transactions may be purchases, sales, deposit and withdrawal of stocks and shares, free or against payment on domestic and foreign markets.  For the holdings and transactions reconciliation, incoming custodian statements are matched against your host system's equivalent using user-defined matching criteria.  A history of previous positions may be viewed for accurate comparison. Matching of settlement instructions against confirmations is completed in a similar way and can be from the point of view of either:
  • A client verifying that the agent has carried out their instructions correctly or,
  • An agent confirming its actions against the clients' original instructions
Interfaces are present to automatically load these message types directly into our application. Manual input facilities are also available for any statement or confirmations received under non-electronic formats.
Search facilities allow users to revise or print the pages loaded into the system and by clicking on a specific item, access to the details of the item itself. Further options also allow users to access the match details, if the item is held in a match, access to the log, add a user note or print the item. Such facilities are available for all different kinds of messages on both sides (Host and Custodian for 535, 536 and SIC 540-7). The messages are handled by a loader process that can be configured to automatically or manually run. Our application will monitor the arrival of files to load in accordance with the schedule parameters.
Host and Custodian data are processed by our application, preparing the data for the matching process. Validation is performed during the data loading stage to check for unexpected problems.  In such cases, an indication of possible causes is provided to help diagnose the source of the error.  Furthermore, the system checks the consistency of the data and prevents duplicate entries.
  • Reduction of manual effort

  • Increased operational control

  • User-friendly work queues and menus

  • Flexible matching quality parameters

  • Highlight all exceptions

  • Integrated Follow-up tool

  • Link to our SMART-Resolve module for Investigations & Exceptions Management

  • Search parameters allowing you to easily find any information at any time

  • Discrepancy codes for Statement of Holdings

  • Search continuity error between 535 and MT 536

  • Generation of MT 549 Request for Statement / Status Advice

  • Complete range of Statistics & Reports for audit

  • Export to Excel, PDF and Printer

  • Minimal impact on the integration process into any environment

  • Compliance with S.W.I.F.T. standards

  • High security levels (profiles menu access, data access, etc.)

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