Pledged Securities Reports

State regulations require financial institutions to pledge securities as collateral to protect deposits from public entity clients. This creates several data management and reporting challenges for financial institutions because they have to:

  • Track which securities are pledged in order to provide reports of pledged securities’ market values and security characteristics to public entities and auditors
  • Track which securities are unpledged within the financial institution’s investment portfolio so portfolio managers know what is available to trade
  • Continue to account for pledged securities on financial, compliance, risk, and regulatory reports

With Clearwater’s enhanced pledge reporting solution, financial institutions can streamline their pledge reporting process to easily track pledged and unpledged securities within their investment portfolio.

Pledged Securities Report

Clearwater Pledged Securities Report
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The Pledged Securities Report provides a succinct web-based view of up-to-date pledged position, lot, partial lot data, and also includes the ability to customize it with additional data points. Data is grouped by pledgee (the public entity) and sub-grouped by safekeeping location (where the pledged securities are held) to allow for easy verification of market values and weighted averages by pledgee.

PDF and Excel exports of pledged securities are paginated by pledgee, allowing for easy distribution to each of the pledgees.

Unpledged Securities Report

Clearwater Unpledged Securities Report
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The Unpledged Securities Report includes up-to-date information on all positions, lots, or partial lots that are not pledged. It facilitates trading decisions by portfolio managers.

Like all Clearwater reports, it is customizable and additional data points can be added.