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107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery

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1  Unacceptable
2  Very poor - always fails to meet expectations
3  Poor - often fails to meet expectations
4  Satisfactory - sometimes meets expectations
5  Good - often meets expectations
6  Very good - always meets expectations
7  Excellent - consistently exceeds expectations

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Retail custody accounts

Being the named custodian for the underlying clients of a wealth manager and providing retail custody accounts. Normally included in the wealth manager's client contracts or terms and conditions.


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Integration with external retail custody

Ability to provide a service where the custody for the underlying clients of the wealth manager is provided by a third party of the wealth manager's choice.


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Client-level recordkeeping

Holding full details of the underlying client in order to process trades, process income / corporate actions, process tax and report to the investor.


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Other feedback

Year-on-year performance, improvements needed...
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