Caprock Prime
HIN-sponsored access, fully collateralised derivatives, and institutional-grade custody — all in one platform.
Caprock Prime delivers direct market access, institutional custody, and alternative asset administration through a unified, regulated platform designed exclusively for wholesale clients.
As a Non-Bank Financial Institution, Caprock combines HIN-sponsored trading, fully cash-collateralised derivative execution, and comprehensive custody for listed, OTC, and hard assets. Our Australian offering integrates traditional market access with modern custody infrastructure — delivering transparent ownership, capital protection, and complete regulatory alignment under AFSL 330742.
As a Non-Bank Financial Institution, Caprock combines HIN-sponsored trading, fully cash-collateralised derivative execution, and comprehensive custody for listed, OTC, and hard assets. Our Australian offering integrates traditional market access with modern custody infrastructure — delivering transparent ownership, capital protection, and complete regulatory alignment under AFSL 330742.
Direct Market Access with HIN
Your Assets, Your ControlTrade Australian equities and ETFs with Holding Identification Number (HIN)-sponsored custody and access 27 markets globally for portability, transparency, and direct ownership.
Unlike nominee structures, Caprock’s HIN model registers securities directly in your name — enabling seamless transfers, full corporate-action participation, and enhanced reporting visibility.
Unlike nominee structures, Caprock’s HIN model registers securities directly in your name — enabling seamless transfers, full corporate-action participation, and enhanced reporting visibility.
- Direct ownership registration
- In-specie transfer flexibility
- Full participation in corporate actions
- Transparent ASX registry visibility
- Compliance with ASX Settlement Operating Rules
Derivatives Without Leverage
- Caprock provides access to listed and OTC derivatives for hedging and structuring — all under a fully cash-collateralised model with no leverage, no prime financing, and no rehypothecation.
- Fully Cash Collateralised
- Client Money Protection
- ISDA/CSA Documentation
Alternative Asset Administration
Caprock’s custody extends beyond traditional securities — supporting unlisted and hard assets such as private equity, private notes, gold, gemstones, and art.
We onboard, safeguard, and value these assets under ASIC RG 133 custody standards, with documented provenance, secure storage, insurance coverage, and periodic valuation protocols.
Comprehensive Feature Set
HIN-Sponsored Custody
Direct ownership model with optional nominee structures
Best Execution Oversight
Transparent execution evidence and performance monitoring across global markets
OTC Derivatives Control
ISDA/CSA documentation, cash-only IM/VM, and client-money trust accounting
ASIC 2024 Transaction Reporting
Fully compliant payloads with UTI/ACK monitoring
Unlisted Asset Programs
Intake, verification, secure storage, valuations, and insurance documentation
White-Label Portals
API connectivity, branded client dashboards, and complete audit trails
Implementation Process
1. Wholesale Onboarding
Verification of wholesale client status, full KYC/AML checks, and account setup with dedicated relationship management.
2. HIN Sponsorship
Execute a Sponsorship Agreement and receive a unique HIN for direct registration and transparent portfolio tracking.
3. Derivatives Enablement
Complete ISDA/CSA documentation and establish margin arrangements through Caprock’s segregated client-money trust.
4. Add Alternatives
Register unlisted or physical assets under Caprock custody, including documentation, valuations, and insurance.
Ready to get started?
Caprock Prime represents the next generation of institutional custody and execution in Australia and global markets.
By combining HIN transparency, fully cash-collateralised derivatives, and comprehensive alternative-asset custody, we deliver a secure, compliant, and scalable platform for sophisticated investors.
By combining HIN transparency, fully cash-collateralised derivatives, and comprehensive alternative-asset custody, we deliver a secure, compliant, and scalable platform for sophisticated investors.
Important Information
Caprock Prime is available to wholesale clients only as defined under the Corporations Act 2001 (Cth).
Best execution and client-handling follow ASIC Market Integrity Rules; HIN sponsorship is managed under ASX Settlement Operating Rules; OTC collateral is held in a segregated client-money trust per ASIC RG 212; and unlisted/hard-asset custody adheres to ASIC RG 133 minimum standards.
Best execution and client-handling follow ASIC Market Integrity Rules; HIN sponsorship is managed under ASX Settlement Operating Rules; OTC collateral is held in a segregated client-money trust per ASIC RG 212; and unlisted/hard-asset custody adheres to ASIC RG 133 minimum standards.