Clearing, Custody & Market Access

Our offering includes:

• Global clearing and settlement across supported asset classes and markets
• Trade confirmation, matching, netting and settlement processing
• Centralized risk management and supervisory controls
• Support for high‑volume and complex trading activity
• Integrated reporting and operational transparency across clearing activity
   

Backed by the scale and experience of the #1 U.S. clearing firm, our clearing services are designed to support resiliency, consistency and operational reliability, even during periods of market volatility.

BNY Pershing maintains strong capital levels, robust risk management practices and comprehensive internal controls to support clearing and settlement activity across its platform.

Our offering includes:

• Global clearing, settlement and custody for various asset types
• Multicurrency reporting
• Customizable compliance engine with configurable workflows and alerts
• Advisor access to consolidated client holdings across asset classes
• Award-winning client statements available on preferred channels, including mobile

BNY Pershing's financial strength, backed by parent company BNY, the world's largest global custodians, provides a solid foundation for protecting client assets. While market fluctuations cannot be avoided, our robust internal controls ensure we remain focused on resiliency and stability.

Additionally, a Service Organization Control report evaluates the effectiveness of these controls.

Fully paid physical assets are segregated from BNY Pershing's own, with quarterly vault inspections. Cash and qualifying securities are held in special reserve accounts exclusively for clients, protecting funds in the unlikely event of BNY Pershing's failure.

BNY Pershing is a FINRA member broker-dealer registered with the SEC, all 50 states, the District of Columbia, Puerto Rico and select foreign jurisdictions.

Our fully outsourced offering includes:

• Custody for most U.S. and non-U.S. marketable products
• Books and records platform with trust and tax lot accounting
• Back-office support: clearing, settlements, corporate actions, money movements, reconciliation
• Proprietary compliance engine with configurable workflows and alerts
• Support for non-marketable assets, including valuation and life-cycle processing
• Custodial and fiduciary tax reporting, plus tax bridge for sub-custody
• Personal and institutional trust services with fund accounting and reporting
• Employee benefit plan support: pension payments, tax reporting, plan websites
• Shadow accounting and reconciliation
• Data for regulatory reporting
• Extensive APIs and micro front-ends library

BNY Mellon, N.A. segregates clients’ securities from the bank’s and other clients’ assets. Securities in a client’s account are the client’s property, held in nominee name and separately accounted for, ensuring that creditors of BNY and its subsidiaries have no claim to these assets. This includes shares of money market mutual funds. All assets remain subject to investment gains or losses.

Regulatory oversight includes SEC filings by BNY as a publicly traded company, supervision by the Federal Reserve as a financial holding company and regulation of BNY Mellon, N.A. by the Office of the Comptroller of the Currency under the U.S. Treasury.

Our offering includes:

• Multi‑asset execution capabilities across equities, fixed income and foreign exchange
• Access to global markets and liquidity venues through integrated execution services
• Support for agency and principal execution models, where applicable
• Technology‑enabled connectivity designed to support efficient execution
• Integrated workflows that connect execution activity with clearing and custody
   

Our market access capabilities are designed to work in concert with our clearing and custody infrastructure, providing clients with consistent execution support while maintaining operational integrity, transparency and control across the trade lifecycle.