Securities Financing Transactions


With experience spanning 30 years, Advanced Securities Consulting’s industry recognized experts in the securities financing transactions, including lending and repo, have actively participated in the growth of these sectors into global market forces. Since the early days of the US industry, ASC’s experts have counseled clients in program design, implementation, and assisted them to keep pace with the technological, internal control, and operational advancements and challenges presented by today’s complex multi-national securities lending and repo businesses.

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Expert Testimony and Complex Litigation Support

CourtroomFinancial services, particularly those which rely on securities finance, have become increasingly global, leading to greater technological and transactional complexity.  With the explosion of litigation arising out of the 2008 financial crisis, litigants and courts frequently require plain language insight into the structure, flows, and strategies associated with securities finance.  Working closely with counsel, our team assists a litigant's analysts and experts to turn archival data into workable records.  Then we combine that data with contemporaneous market intelligence. As a result, courts and litigants have meaningful, well supported conclusions that can serve as coherent answers to key litigation issues.

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Policy and Contract Compliance


Although cooperating subsidiaries can achieve great service efficiencies, the prospect of regulatory reforms or operational restructuring can create unexpected risks to fiduciary compliance. In such cases, ASC assists the boards of firms in evaluating compliance with program objectives and contract terms. 


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Profitability / Performance Measurement


The key to a successful securities lending program is the effective management of value generation versus risk. ASC assists clients to strike the appropriate balance by providing in-depth performance measurement and assessments of program management.

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Risk Management

Counterparty RiskFollowing the failure of Lehman Brothers, counterparty risk and the risks surrounding the investment of lenders’ collateral became the focus of lenders, borrowers, and agents alike. Advanced Securities Consulting assists clients on all sides of securities lending transactions to better understand and manage the risks associated with securities lending: 


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Corporate Governance

Advanced Securities Consulting advises clients on wide range of corporate governance issues Corporate Governanceand matters, including:

  • Proxies/Empty Voting
  • Corporate Actions
  • Reporting and Disclosure
  • Mutual Fund Governance


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Cash and Collateral Management

Reinvestment ReturnsASC works with financial institutions, securities lending agents, hedge funds, broker-dealers, and asset managers to help them streamline and improve their collateral management processes. Whether it be securities lending programs, repo, or OTC or exchange traded derivatives, ASC can help firms develop collateral processes and strategies that control funding costs and effectively manage counterparty and other risks. 

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Capital Markets

ABA Banking Journal

Advanced Securities Consulting advises clients on a range of complex instruments and global

transactions. Our consultants assist clients in areas such as:  

  • Global Custody
  • Cash Management
  • Structured Products/Derivatives
  • ADRs


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