Asset Management and Capital Markets

Improve control & cut operational costs with our automated reconciliations & reporting platform for asset management & capital markets. Shield your organisation from regulatory penalties with precise data for reporting & reconciliations.

Transform your operational processes

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30 years’ experience strengthening controls for global financial institutions

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Lloyds banking group logo
Nationwide logo
Etoro logo
Lgim logo

Full control of your financial data. Without the spreadsheets

To meet customer & regulatory demands, you need accurate data & agile operations – or risk penalties and falling behind competitors.

AutoRek consolidates your data from all your systems into one platform. It ingests data from any source, in any format. And standardises & reconciles it automatically.

So you can investigate breaks & manage exceptions straight away.

You’ll spend minutes – not hours – on reconciliations. And you’ll be sure your data is accurate.

Cut operational costs

Cut costs per transaction and become more profitable as you grow by increasing your operational capacity.

Cut your risk of regulatory penalties and reduce write-offs.

Our customers usually achieve ROI in less than 9 months after go-live.

Protect your customers. Comply with regulations

Avoid heavy fines & penalties with accurate data for reconciliations and reporting. Demonstrate your control and oversight through the fully audited platform.

Our CASS platform automates CASS 6 and CASS 7 reconciliations. And you get 20 years of CASS expertise by your side.

Features for asset management & capital markets

If you’re an asset manager, wealth manager, investment bank, broker, CFD/forex/crypto firm or pension firm, AutoRek can strengthen & simplify your operational processes. The platform is available on the cloud.

  • Any source, any format
    AutoRek ingests data from any source and in any format, including ERPs, SWIFT messages & CSV from Excel. Achieve real-time data transfer through APIs.
  • Standardises data
    The platform ingests data in its raw state. It standardises, enriches & disaggregates it using Extract, Transform, and Load (ETL). So you can perform complex reconciliations.
  • Fully automated from end to end
    The platform automates everything, from data ingestion to reporting. You get maximum automation for minimum risk of human error.
  • Flexible & rules-based
    Design custom match rules with our flexible, rules-based system. It supports one-to-one, one-to-many and many-to-many scenarios. So you can tackle any matching or data-related challenges.
  • Iron-clad audit trails
    User actions are logged within the AutoRek audit trail & event log. Nothing in the solution can be deleted. Only rolled back to a point in time.
  • No-code/low-code
    Everyone on your team can build a reconciliation in AutoRek. Dashboards are fully configurable through the front end. So you don’t have to rely on IT functions.
  • Data completeness checks
    The platform provides data controls and CASS record retention requirements. So you can prove the integrity of internal and external data for downstream regulatory reconciliations.
  • Customisable dashboards & reports
    Dashboards surface management information (MI) & key metrics in real-time. Get a full overview of your data. And make evidence-based decisions.

Use cases

Automate any reconciliation for cash, securities, data management, and regulations – including CASS

Cash

  • Automate cash transactions, balances, and holdings reconciliations
  • Automate match rules for calculation and tolerance
  • Get fully audited money movements & configurations

Securities

  • Automate reconciliations across any asset class, including equities, fixed income, credit, debt, contract for differences (CFDs), foreign exchange, over-the-counter derivatives (OTCs), funds, exchange-traded funds (ETFs), futures, options, commodities, exotics, and fixed deposits
  • Automate intersystem, portfolio, and ABOR/IBOR reconciliations
  • Automate pre- & post-trade reconciliations
  • Automate match rules for calculation and tolerance
  • Compare pricing across multiple data providers and order management systems (OMS)
  • Get fully audited position movements and holdings
  • Calculate fees (client and broker/dealer)
  • Gain control & oversight of your net asset value (NAV) reconciliations
  • Integrate directly with Calastone

Regulations

  • Automate reconciliations across any asset class, including equities, fixed income, credit, debt, contract for differences (CFDs), foreign exchange, over-the-counter derivatives (OTCs), funds, exchange-traded funds (ETFs), futures, options, commodities, exotics, and fixed deposits
  • Create reports to submit to global regulators, including the Financial Conduct Authority (FCA), Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and European Securities and Markets Authority (ESMA)
  • Automate EMIR and MiFID II 3-way reconciliations
  • Automate match rules for calculation and tolerance
  • Create calculation rules on single-sided reconciliations
  • Meet UCITS diversification rules
  • Compare pricing across multiple data providers and order management systems (OMS)

CASS

  • Automate reconciliations for any asset and any currency
  • Automate CMAR production
  • Save time with electronic mapping of CASS rules, risks and controls
  • Record and approve breaches in an electronic breach log
  • Fully audited, with CASS auditor log-in
  • Get access to AutoRek’s in-house CASS experts to achieve compliance
  • Implement quickly with a templated solution trusted across the industry
  • Eliminate operational and liquidity risk with automated calculation of asset shortfalls
  • Avoid penalties by cutting your risk of CASS breaches

Data

  • Automate reconciliations across any asset class, including equities, fixed income, credit, debt, contract for differences (CFDs), foreign exchange, over-the-counter derivatives (OTCs), funds, exchange-traded funds (ETFs), futures, options, commodities, exotics, and fixed deposits
  • Automate intersystem reconciliations
  • Gain valuable insight into data, activity, positions, and pricing
  • Get consistent and quality data across source systems
  • Compare pricing and foreign exchange data across multiple providers and order management systems (OMS)
01 / 03

AutoRek has been one of the most stable tools in our tech stack during our growth period over the last few years.

Rustam Juguth IT Infrastructure/Vendor Support Head
Black variation of the Fluro logo
02 / 03

This has freed up our team’s time to spend on other critical processes, including investigation and resolution of breaks, innovation and automation and ultimately supporting the wider growth goals of the business.

Matthew Powell Director at Fluro
03 / 03

By implementing end-to-end automation, our employees have more time to spend on value-added tasks.

Kreeson Thathiah UK Head of Finance & Risk Director at eToro

FAQs

What volume of transactions & reconciliations can the AutoRek platform handle?

The platform handles an unlimited number of transactions and reconciliations.

Does AutoRek work across any asset class?

Yes. We have clients who manage several different securities in multiple different currencies.

These include equities, exchange-traded funds (ETFs), fixed income, mutual funds, over-the-counter (OTC) derivatives, contract for differences (CFDs), cash products, and exchange-traded derivatives (ETDs).

Are there any limits to what data the platform can integrate?

No. AutoRek ingests any data type. There’s no need to transform the data into a template or provide data in a particular format.

The platform ingests SWIFT messages (MT/MX messages), Excel files, XML, JSON, structured and unstructured data, and real-time data transfers via AutoRek’s REST API.

Is AutoRek available on the cloud?

Yes. We offer AutoRek as a SaaS product hosted in Azure or on our preferred private cloud (AWS, Google Cloud). Most of our clients take this option.

The AutoRek SaaS product allows data residency in any required geographic region. It’s ISO 27001 and SOC II compliant.

Is the platform configurable by the user?

Yes. AutoRek is a no-code/low-code platform that you can configure from the front end. You can set up user groups (permission-driven), data ingestion, reconciliation mapping, schedules, match rules, and management information (MI).

All actions within AutoRek, including the platform’s configuration, are audited. All data, user actions, reconciliation activity, calculations, and results can be surfaced through reports and dashboards.

Can AutoRek be used for reconciliations of client money (CASS 7) and customer assets (CASS 6)?

Yes. Our client money (CASS 7) solution provides data validation controls and automates external and internal client money reconciliations.

Our CASS 6 solution automates the validation and reconciliation of all custody assets the firm holds. It also performs a daily stock shortfall calculation after the reconciliation.

Full reporting and management information (MI) are available via interactive dashboards to give you essential oversight and record-keeping of your CASS processes.

Related Insights

Solutions literature
AutoRek product guide: Asset management
Read more
Videos
AutoRek 3 minute CASS demonstration
Read more
Blogs
Asset management operations: How to improve your processes
Read more

See how AutoRek can strengthen your processes

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