Securities Services insights

  • Securities Services

  • Securities Services

    Collateral Insights

    The J.P. Morgan Collateral Insights podcast series brings you the latest insights on topical issues and events in the collateral industry. The series features thought leadership and best practices from J.P. Morgan leaders on a variety of topics to help clients manage their collateral needs including financing, funding and liquidity.

  • Securities Services Regulatory Solutions

Fusion by J.P. Morgan

Discover our new cloud data platform designed to deliver the benefits of scale, reduced costs and the ability to easily unlock timely insights.

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Securities Services solutions

With a broad array of integrated solutions that span investment strategies, fund structures, asset types and geographies, J.P. Morgan Securities Services delivers the expertise, scale and capabilities to help our clients protect and grow their assets, optimize efficiency and maximize opportunities in diverse, global markets.

“We’ve turned the business into a real industry powerhouse that can make an impact for our clients. 
It’s a great story so far, and we plan to continue that momentum, continue the growth, and really capitalise
on our investments.”

Our capabilities

Solutions that provide access to global investment opportunities through Global Custody, Direct Custody and Depositary Services.

Custody
Safeguard your assets throughout the transaction lifecycle—from onboarding and market entry—to achieve your investment strategy across global markets. Our custody platform provides access to global markets and ensures efficient servicing of your portfolio through technology, scale, automation and rigorous controls. We offer comprehensive services including income processing, corporate actions, proxy voting, securities litigation services, tax services, FX, reporting and more.

Depositary Services
Access local service and expertise across 13 key business locations in Europe. Partner with a long-standing provider for funds across Europe, with over 30 years’ experience delivering oversight excellence, technical expertise and tailored solutions to our clients. The structure of our depositary function is a combination of local senior managers and a global operations hub to offer scale, local influence and outstanding client service.

ETF Services
Access services across the ETF value chain, including liquidity, index creation and securities services, delivered through one global platform.  Our ETF platform connects managers, capital market specialists, authorized participants and operations for an efficient, transparent and scalable experience. We offer a full suite of services across baskets, orders and post-trade to enable faster time-to-market and efficient operations. Our team of experts helps clients identify best practices for product structure, fund launch and establishing operations and technology.

Solutions that make investing accessible for all through Fund Accounting, Fund Administration, Alternatives, Middle Office and Transfer Agency solutions.

Fund Accounting
Achieve your target operating model with our leading investment accounting platform built to support a broad array of industry segments, fund structures and asset types.  Leverage the power of a full-service investment bank to access the latest derivative capabilities and oversight tools to drive efficiency in your business. Our integrated accounting platform handles all asset classes and is supported by a global operating model with continuous workflow. Through our best-in-class technology, clients benefit from:

  • Transparency, scale and resiliency.
  • Insights into valuation changes to help identify specific drivers with customizable benchmarking.
  • Proprietary complex derivatives processing for the entire lifecycle of each instrument. 
  • Servicing for a wide range of funds, including open and closed-end mutual funds, UCITs, Unit Trusts and other commingled vehicles as well as separate accounts.
  • Comprehensive accounting book of record fit for purpose and easily integrated with data solutions and other downstream uses including financial and regulatory reporting and investment analytics.

Fund Administration
Meet evolving regulatory obligations with the tools and capabilities to manage financial and regulatory reporting, expense administration, tax services and more.  Clients can choose from a range of administration services to ensure compliance with evolving regulations and reporting requirements. Our accounting platform—supported by a global team of product and operations experts—is fully integrated with financial reporting, compliance, tax and expense administration capabilities to ensure data quality and consistency.

Alternatives
Leverage our expertise and global scale to support a wide variety of alternative fund types—from hedge and hybrid funds to private equity and real estate.

  • Hedge Fund Services (HFS): Clients benefit from a fully integrated platform that uses a combination of vendor and proprietary applications to deliver portfolio and fund accounting, reporting and data feeds, investor relations, financial reporting and tax, and hybrid fund waterfall administration. Leverage our turnkey solution for fund administration, middle office, risk, performance and analytics to support all investment strategies (equity, credit, loans and more).
  • Private Equity and Real Estate Services (PERES): Our PERES business serves the fastest-growing asset class across private equity, real estate, private debt, infrastructure and fund of funds strategies. We offer comprehensive services, including fund implementation, fund and partnership accounting, investor relations, fund waterfall administration and tax support services. Our leading suite of solutions leverages artificial intelligence to capture private assets data from various sources, which coupled with significant automation initiatives, enables an agile service model to manage sophisticated limited partner reporting, timely capital calls and deal processing.
  • Portfolio Administration: Asset owners and fund of funds managers can benefit from leading asset servicing capabilities aligned to the unique needs of global private markets institutional investors. Our solution helps scale our clients' platforms by providing both operational outsourcing support as well as investment reporting analytics. Clients benefit from capital event workflow, payment tools and valuation processing and multi-asset accounting platforms. In addition, we address the needs of sophisticated private market investment professionals through a variety of services including: investment commitment tracking, IRR and multiple performance reporting and underlying holdings portfolio company transparency reporting.

Middle Office
Access the technology, processing scale, control framework and operational expertise that support the world’s largest global trading and derivatives firm to power your investment operations. Our investment operations platform enables real-time global processing and access to investment data across all major asset classes, investment vehicles and jurisdictions. With a full suite of outsourcing services ranging from trade processing and position management to end-client and regulatory reporting, we offer operational agility, efficiency and rigorous risk and compliance controls integrated with our clients' operating models and investment needs.

Transfer Agency
Simplify your operating model and drive efficiency with a service that is fully integrated with our platforms across fund accounting, custody, treasury and payments, FX and hedging. Leverage J.P. Morgan's expertise in supporting EU regulated funds, with extensive coverage for the largest platforms and commercial distributors. Our end-to-end platform enables deal processing at scale and rich online reporting capability, integrated with KYC/AML processes compliant with the latest regulations, efficient onboarding and transitions, automated retrocession calculations and online investor dealing. Our team of experts across Ireland and Luxembourg, with time-zone support from Asia, serve investors globally.

Solutions that optimize returns and performance, including Cash & Liquidity Management, Foreign Exchange, Agency Securities Finance, Collateral Management, and Depositary Receipts.

Agency Securities Finance
Unlock your portfolio’s full potential, enhance returns and finance efficiently with customizable lending solutions linked to J.P. Morgan’s global equity, fixed income and cash management capabilities.  We offer full-service agency securities financing for securities held in custody at J.P. Morgan or on a non-custody/third-party basis. Institutional investors can tailor lending programs to meet specific risk/return requirements. Individual program parameters are supported by product expertise and a client centric service model backed by technology that delivers holistic trading, risk, reporting, analytics and market intelligence from five trading desks in over 30 lending markets.

Collateral Services
Manage your collateral to address margin requirements, financing, performance, liquidity and regulatory needs. Manage your collateral effectively using innovative solutions for both collateral providers and receivers. Banks, broker-dealers, asset managers, insurers, central banks and pension funds can optimize their portfolios with sophisticated analytics and eligibility tools, bilaterally or via tri-party. Global capabilities, delivered locally, help institutions manage collateral around the world or onshore to meet increasingly complex financing, liquidity and regulatory requirements.

Learn more about topical issues in the collateral industry: Collateral Insights

Depositary Receipts
Access new investors globally and heighten your brand visibility by making your stock available in major markets and exchanges. Whether you’re seeking to broaden your shareholder base outside your home market or to raise capital, J.P. Morgan is the strategic partner to help you achieve your goals. In the 95 years since launching the first Depositary Receipts program, we have remained the provider of choice for companies looking to structure their programs. We provide issuers with an easy and convenient way to access global investors.

For market information on Depositary Receipts, visit adr.com.

Solutions that provide insights to drive better decision making through Data Management, Analytics and Reporting, and Integration and Workflows.

Address your data challenges and drive operational efficiencies with Fusion by J.P. Morgan, a cloud-native data platform that delivers end-to-end data management and reporting solutions.

  • Data Management: Centralized access to clean, interoperable data from J.P. Morgan and third-party data sources, all accessible via the platform’s modern API. Fusion’s open data architecture supports flexible distribution, including partnerships with cloud and data providers, all managed by J.P. Morgan data experts.
  • Reporting and Analytics: Understand investment performance and risk within and across your portfolios with solutions across portfolio management, performance analytics and attribution, risk management, compliance and ESG. Our products and services offer scale and flexibility, supported by fully outsourced models or as-a-service delivery.
  • Integrations and Workflow: Enhance post-trade efficiency and optimize your organization’s engagement with J.P. Morgan leveraging our pre-integration with major order management systems (OMS) and innovative technology providers.

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  • 5:10 - Securities Services

    Middle office

    March 23, 2021

    What is middle office? Take a behind-the-scenes look at middle office functions and what happens after a trade is made.

Issued in the interest of investors:

Investor grievances
Clients may click on the below link to Sebi Complaints Redress System (SCORES) to lodge their complaints online with SEBI.

Filling complaints on SCORES- Easy & Quick
A. Register on SCORES portal
B. Mandatory details for filling complaints on SCORES
      l. Name, PAN, Address, Mobile Number, E-mail ID
C. Benefits:
      l. Effective Communication
      ll. Speedy redressal of the grievances

Clients may click on the below link to Securities Market Approach for Resolution Through ODR Portal (SMART ODR Portal) to lodge their complaints online. This platform is designed to enhance investor grievance redressal by enabling investors to access Online Dispute Resolution Institutions for the resolution of their complaints.

SMART ODR Portal.

Email ID for lodgment of grievances pertaining to -
Custody Services :
grievances.india.custody.operations@jpmorgan.com
Depository Operations : grievances.india.depository.services@jpmorgan.com
Designated Depository Participant : grievances.india.ddp@jpmorgan.com
Clients may click on the link for Investor Grievances escalation matrix


Clients may click on the link for Data on compliants received and redressal thereof for: CustodianDesignated Depository Participant.

Steps for filing a complaint & status check:

  1. For Complaints/grievances related to Demat Services please write an email to: grievances.india.depository.services@jpmorgan.com or personnel mentioned under Investor Grievances escalation matrix.
  2. In absence of response/ complaint not addressed to your satisfaction, you may lodge a complaint with SEBI at https://scores.gov.in/scores/Welcome.html
  3. Investor to check status of complaints by writing to the DP at india.custody.client.service@jpmorgan.com or by directly logging to SCORES website, where compliant is lodged.

Clients may click on the below link to view:

Investor Charter for Custodian
Investor Charter for Designated Depository Participant

Clients may click on the below link to view the Investor Charter for Depositories and Depository Participants- NSDLCDSL.

Learn more about Rights and Obligations of Beneficial Owner and Depository Participant

Demat Account Opening Steps:

  1. Request for opening Demat account – interested investors may write an email to india.custody.client.service@jpmorgan.com informing J.P. Morgan of the services they wish to avail and type of demat account that they wish to open i.e. FPI, FDI, FVCI, FCCB etc. J.P. Morgan Chase Bank N.A. (JPM) will accordingly share with client the application form and documentation list.
  2. Submission of application forms – Investor would need to submit duly executed and signed account opening and other relevant forms including supporting documents, for opening a depository account.
  3. Submission of necessary KYC documents – Investor needs to submit necessary KYC documents including proof of Identification and proof of address.
  4. Verification of documents by Depository Participant – Depository Participant (JPM) will review the documents submitted by investor and will connect for any clarification or any additional information required.
  5. Opening of Demat account – Upon completion of the review and verification of the documents and information so submitted, the account will be opened and an intimation will be sent to the client.

Prevent unauthorized transactions in your demat account: Update your mobile number with your depository participant. Receive alerts on your registered mobile for all debit and other important transactions in your demat account directly from the depository on the same day.

Know Your Customer (KYC) is a one-time exercise while dealing in securities markets. Once KYC is done through an SEBI registered intermediary (Broker, Depository Participant (DP), Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary.

Mandatory updation of KYC attributes: Clients are required to mandatorily provide the 6 KYC attributes i.e. name, address, Permanent Account Number (PAN), valid mobile number, email address and income range for opening of new depository accounts effective August 1, 2021 and for existing accounts effective March 31, 2022.

Clients may click on the link to view the Advisory on KYC Compliance.

No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account.
FAQs on ASBA IPO for Investors

SOP for Additional Disclosures Requirement - Client may click on the link for SOP framed by the DDPs, Custodians, Depositories, Clearing Corporations and Exchanges, in consultation with SEBI, for implementation of the SEBI circular SEBI/HO/AFD/AFD-PoD-2/CIR/P/2023/148 issued on August 24, 2023.

Other Information
Clients may click on the below link for accessing the e-Voting platform of NSDL https://eservices.nsdl.com.

Clients may click on the Link for accessing the updated version of master circular for Issue and Listing of Non-Convertible Securities, Securitized Debt Instruments, Security Receipts, Municipal Debt Securities and Commercial Paper.

Clients may click on the below link for accessing format of select reports submitted to SEBI by DDP / Custodians.

Contact Details
DP registration number: IN-DP-492-2020
Registered address: JP Morgan Chase Bank, National Association , JP Morgan Tower, OFF C.S.T. Road, Kalina, Santacruz East, Mumbai 400 098
Correspondence address: J.P. Morgan Chase Bank, N.A., 9th Floor, Tower A, Block 9, Nirlon Knowledge Park, Western Express Highway, Goregaon (East),
Mumbai 400 063

Clients may click on the link for details of Key Managerial Personnel (KMPs)
Clients may click on the link for details of Authorized Persons
For opening an account – write to us on india.custody.client.service@jpmorgan.com

FOR INSTITUTIONAL & PROFESSIONAL CLIENTS ONLY—NOT INTENDED FOR RETAIL CUSTOMER USE

J.P. Morgan is a marketing name for the Securities Services businesses of JPMorgan Chase Bank, N.A. and its affiliates worldwide.

JPMorgan Chase Bank, N.A. is regulated by the Office of the Comptroller of the Currency in the U.S.A., by the Prudential Regulation Authority in the U.K. and subject to regulation by the Financial Conduct Authority and to limited regulation by the Prudential Regulation Authority, as well as the regulations of the countries in which it or its affiliates undertake activities. 

This document is provided for information purposes only and is not intended as a recommendation or an offer or solicitation for the purchase or sale of any security or financial instrument. Any market prices, data or other information contained herein are not warranted as to completeness or accuracy and are subject to change without notice. Nothing in this document should be construed as legal, regulatory, tax, accounting, investment or other advice. The recipient must make an independent assessment of any legal, credit, tax, regulatory and accounting issues and determine with its own professional advisors any suitability or appropriateness implications and consequences of any transaction in the context of its particular circumstances.

Access to financial products and execution services is offered through J.P. Morgan Securities LLC (“JPMS LLC”) and J.P. Morgan Securities plc (“JPMS plc”). Clearing, prime brokerage and brokerage custody services are provided by JPMS LLC in the U.S. and JPMS plc in the U.K. Bank custody services are provided by JPMorgan Chase Bank, N.A. (“JPMCB”). JPMS LLC is a registered U.S. broker dealer affiliate of JPMorgan Chase & Co., and is a member of FINRA, NYSE and SIPC. JPMS plc is authorized by the PRA and regulated by the FCA and the PRA in the U.K. JPMS plc is exempt from the licensing provisions of the Financial and Intermediary Services Act, 2002 (South Africa). J.P. Morgan Securities (Asia Pacific) Limited is regulated by the HKMA. J.P. Morgan Europe Limited, Amsterdam Branch does not offer services or products to clients who are pension plans governed by the U.S. Employee Retirement Income Security Act of 1974 (ERISA).

JPMorgan Chase & Co. and its affiliates do not provide tax, legal or accounting advice. This material has been prepared for informational purposes only and is not intended to provide, and should not be relied on for, tax, legal or accounting advice. You should consult your own tax, legal and accounting advisors before engaging in any transaction.

The products and services described in this document are offered by JPMorgan Chase Bank, N.A. or its affiliates subject to applicable laws and regulations and service terms. Not all products and services are available in all locations. Eligibility for particular products and services will be determined by JPMorgan Chase Bank, N.A. and/or its affiliates.