End-to-end automation of corporate actions, supports announcement capture, event processing, validation, reconciliation, entitlements, and communication with clients and agents. Enables compliance with global market standards.
Specialized software handling dividends, stock splits, mergers, rights issues, and other corporate events affecting securities holdings.
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Supported Event Types Number of distinct corporate action event types (e.g., dividends, stock splits, mergers) the system can process. |
No information available | |
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Multi-market Support Ability to process corporate actions across multiple geographical markets and exchanges. |
Solution notes 'compliance with global market standards', which indicates multi-market and multi-exchange support. | |
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Custom Event Handling Ability to create and process custom or non-standard corporate actions. |
Describes custom event creation/handling in product brochures, enabling support of non-standard corporate action events. | |
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Tax Withholding Calculation Supports automated calculation of withholding taxes for various event types. |
Automated tax calculation is a highlighted feature of Finacle Corporate Actions Solution. Mentioned in documentation. | |
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Multi-currency Support Handles events and transactions in multiple currencies with FX conversion. |
Multi-currency and FX support referenced in global market support documentation. | |
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Linked Event Processing Ability to identify, group, and process linked or sequential events (e.g., dividend and split on same security). |
Linked and sequential events handling (dividends, splits, interest, etc.) described in workflow automation overview. | |
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Multi-ISIN/Identifier Recognition Supports processing securities with multiple identifiers (ISIN, CUSIP, SEDOL, etc.). |
Supports multiple identifiers (ISIN, CUSIP, SEDOL) as referenced in data integration and matching features. | |
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DRIP (Dividend Reinvestment Plan) Support Processes client choices for automatic dividend reinvestment. |
Dividend reinvestment (DRIP) mechanisms are mentioned as available in client communication and entitlement processing. | |
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Historical Event Processing Ability to process and adjust past corporate actions or apply restatements retroactively. |
Product supports restatement, retroactive processing, and historical corrections. | |
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Fractional Share Management Handles creation, allocation, and payout of fractional shares resulting from corporate actions. |
Fractional share calculation, management and payout described in product workflow. |
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End-to-End Automation Corporate actions processed without manual intervention under normal conditions. |
Marketing highlights end-to-end automation—manual intervention only on exceptions. | |
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Workflow Customization Ability to customize workflow stages and task sequencing. |
Workflow configuration, business rules, and process customization are core selling points. | |
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Exception Management Automated identification and assignment of exceptions or breaks requiring manual review. |
Exception handling and case assignment integrated in workflow engine according to solution guide. | |
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Straight Through Processing Rate Percentage of actions processed without manual touch. |
No information available | |
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Bulk Processing Support Enables batch processing of multiple corporate actions events. |
Describes bulk event processing and batch workflows—standard for Finacle. | |
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Configurable Alerting Ability to set thresholds, notifications, or escalation rules for key workflow stages. |
Configurable event alerts, notifications, and escalation supported as per workflow features. | |
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Assignment Rules Work items can be routed to specific roles, users, or teams automatically. |
Work item assignment and role-based routing included in process configuration. | |
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Audit Logging of Manual Overrides Detailed, time-stamped records kept for all manual interventions. |
Audit trails for manual actions and overrides are explicitly referenced in compliance materials. | |
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User Dashboards Role-based dashboards tracking pending, completed, or exception tasks. |
Role-based dashboards are highlighted for tracking workflow, exceptions, and status. | |
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Service-Level Tracking Monitor processing against defined SLAs (e.g., response or completion times). |
Service-level monitoring and reporting of SLAs available via tracking module. |
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Inbound Integration (Data Vendors) Connectors for ingesting data from major vendors (e.g., DTCC, Bloomberg, SIX, Euroclear). |
Connects to DTCC, Bloomberg, and other data vendors as per integration documentation. | |
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Inbound Format Support Range of supported data formats (e.g., ISO 15022, ISO 20022, Excel, XML, CSV, SWIFT). |
No information available | |
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API Availability RESTful or SOAP APIs for data integration and system interoperability. |
REST and SOAP APIs described for integration in solution material. | |
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Outbound Integration Interfaces for outbound messaging to downstream systems (e.g., settlement, finance, reporting). |
Outbound interfaces for downstream settlement/finance/reporting included. | |
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Real-Time Data Feed Support Near real-time corporate actions event updates and notifications. |
Real-time event updates and feeds are referenced in overview presentations. | |
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Data Validation Rules Automated validation and enrichment of incoming data for accuracy and completeness. |
Data validation and enrichment on inbound events is standard per Finacle's feature list. | |
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Master Data Integration Reconciliation and synchronization with internal security, client, and position master data. |
Master data synchronisation with internal security and client data referenced. | |
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Custom Mapping Tools User-configurable mapping and transformation between data sources/targets. |
Offers mapping/custom mapping capabilities for complex integrations. | |
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Duplicate Event Detection Identifies and flags duplicate or conflicting corporate action notifications. |
Duplicate event detection is a supported feature per product documentation. | |
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Audit Trail for Data Changes Comprehensive logging of all inbound/outbound data changes and corrections. |
Provides complete audit trail for data ingestion and outbound changes. |
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Client Notification Engine Automates notification to clients regarding upcoming events (e.g., proxy, rights issues, tender offers). |
Automatic client notification engine included for event communications. | |
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Configurable Templates Customizable notifications, election instructions, and event summaries. |
Customizable communications and notifications are described in the solution profile. | |
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Multichannel Notification Supports email, web portal, SMS, push, and secure messaging. |
Product supports omnichannel communications—email, portal, and more. | |
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Digital Client Elections Online interface for clients to submit voluntary action instructions. |
Web self-service and digital elections for clients indicated in literature. | |
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Instruction Aggregation Aggregates client responses and generates summary instructions for market submission. |
Automated aggregation of client responses included for market submission. | |
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Election Deadline Management Automatically calculates and enforces client response dates and reminders. |
Election deadline calculation and enforcement highlighted. | |
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Instruction Validation Real-time checking for valid elections based on position and eligibility. |
Real-time validation of client instructions based on eligibility described. | |
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Late Instruction Handling Defines protocols and warnings for late or amended client responses. |
Late/amended instruction protocols and alerts described in workflow materials. | |
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Document Storage Stores and archives submitted instructions, supporting documents, or consents. |
Document storage for all instructions and formal documents listed in compliance features. | |
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Response Tracking Dashboard Live monitoring of response rate, missing instructions, and pending follow-up. |
Live dashboards and real-time response tracking included in interface. |
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Position Snapshotting Automatic capture of client holdings at record date/time for entitlement calculation. |
Position snapshot at record date for entitlement calculation is a standard feature. | |
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Multi-Level Pro-Rata Allocation Distributes proceeds based on specified rules (e.g., priority, rounding, pro-rata at multiple entity levels). |
Supports pro-rata, roundings, and entity-level allocation rules. | |
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Multiple Account Types Handles entitlements for different account types (retail, institutional, omnibus, nominee). |
Handles multiple account types according to product documentation. | |
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Cash and Stock Proceeds Processing Automated calculation of both cash and securities outcomes for all clients. |
Automated calculation and allocation of both cash and stock proceeds. | |
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Fractional Share Rounding Rules Configurable parameters for managing fractions (e.g., cash-in-lieu, carryforward). |
Configurable fraction management and cash-in-lieu detailed in system setup. | |
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Residual and Adjustment Handling Ability to track, adjust, and process residual balances from corporate actions. |
Residual tracking, adjustments, and processing are available. | |
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Eligibility Verification Checks if clients/accounts are eligible for specific events or options. |
Eligibility checks occur automatically in workflow. | |
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Restatement Support Recomputes entitlements if official event details are restated post-processing. |
Restatements supported when event terms change. | |
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Audit Reports Creates detailed logs and audit reports of all entitlement calculations. |
Audit and entitlement reports generated for compliance. | |
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Bulk Adjustment Capabilities Easily process corrections or adjustments affecting multiple clients/accounts. |
Bulk adjustment/correction processes available in entitlements module. |
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Automated Settlement Instructions Auto-generation of settlement entries for both cash and stock movements. |
Automated creation of cash/security settlement instructions included. | |
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SWIFT/ISO Settlement Messaging Creates, sends, and consumes standardized settlement messages (e.g., MT564, ISO 20022). |
Ability to create SWIFT ISO messaging (MT564/ISO20022) described. | |
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Real-Time Posting Immediate posting of entitlements and movements to client and firm accounts. |
Immediate posting of book entries for cash/securities highlighted. | |
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Settlement Status Tracking Monitors status of cash/securities movement and highlights unsettled items. |
Settlement status tracking and real-time monitoring included in dashboards. | |
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Partial/Failed Settlement Handling Supports handling, reprocessing, and investigation of failed or partial settlements. |
Partial/failed settlement handling is described, with reprocessing support. | |
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Auto Reconciliation Automated reconciliation of bookings with custodians, CSDs, or sub-ledgers. |
Auto reconciliation with custodians and sub-ledgers is a feature. | |
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Manual Overrides Users can manually adjust bookings or settlements with tracked authorization. |
Manual override with audit log included for operational control. | |
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Multi-Stage Settlement Workflow Configurable steps from preliminary to final settlement. |
Configurable settlement workflow stages are indicated. | |
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Audit Trail for Settlement Changes Detailed logging of all settlement amendments or reversals. |
Settlement audit trails for reversals/amendments referenced. | |
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Settlement Confirmation Notifications Sends confirmations to clients or counterparties upon completion. |
Clients/counterparties receive automated settlement confirmations. |
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Four-Eyes Authorization Dual authorization required for sensitive operations (e.g., major booking amendments). |
'Four-eyes' principles (dual control for key tasks) supported. | |
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Configurable Maker-Checker Custom rules for checker review and approval for designated workflows. |
Maker-checker configuration described in workflows—customizable rules. | |
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Regulatory Reporting Automation of required regulatory submissions (e.g., to FCA, SEC). |
Regulatory reporting automation claimed in product features. | |
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Compliance Rules Engine Allows rules to define exceptions, embargoed securities, or other regulatory constraints. |
Rules engine for compliance—including embargo, screening, etc. | |
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Access Control & Segregation of Duties Granular role-based access management and audit for all user actions. |
Granular roles and access, including segregation of duties and full logging. | |
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Incident Logging Tracks and escalates processing exceptions, breaks, or compliance issues. |
Incident/exception logging included as part of automated workflow. | |
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SOX/ITGC Audit Features System features facilitating Sarbanes-Oxley audits: logging, review, attestation. |
SOX audit support referenced: logging, attestation & review. | |
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Data Retention Policies Configurable rules for archival and deletion per regulatory requirements. |
Configurable data retention, archival, and purging as compliance features. | |
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Pre-processing Validation Checks completeness and compliance of events before processing. |
Pre-processing checks for completeness and compliance enabled. | |
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Error Handling & Exception Reporting Customizable handling and escalation for compliance or business rule violations. |
Error/exception reporting and handling is configurable. |
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Standard Report Library Pre-built suite of reports (pending events, posted entitlements, breaks, etc.). |
Pre-built standard reports for all operational and pending items available. | |
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Custom Report Builder User-driven custom report definition with parameterized queries. |
Custom report builder for user-defined queries reported. | |
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Real-Time Metrics Dashboard Live dashboards presenting current event processing and workflow status. |
Live dashboards for event, workflow, metrics status. | |
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Exception Reporting Reports on all process failures, breaks, or reconciliation mismatches. |
Exception and break reports available. | |
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Audit Trail Exports Exports of historical activity logs and changes for regulatory review. |
Audit trail export for regulatory or internal review enabled. | |
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Automated Scheduled Reporting Configurable scheduled generation and distribution of key reports. |
Scheduled, automated reporting and distribution supported. | |
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Ad Hoc Query Tools Advanced tools for users to build and run ad hoc data queries. |
Ad hoc queries and analytics tools provided. | |
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Export to Excel/CSV/PDF Support export of data and reports in common formats. |
Export to Excel, CSV, PDF and other formats supported. | |
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Data Visualization Inbuilt charts, graphs, or visualizations of key trends and volume statistics. |
Dashboards and reports feature built-in data visualization. | |
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Role-Based Report Access Access to reports and dashboards based on user permissions. |
Access to reporting based on user roles/permissions included. |
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Encryption In Transit & At Rest Data is encrypted both when stored and in transit between systems/users. |
Data encryption at rest/in transit referenced in security summary. | |
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Single Sign-On (SSO) Integrates with enterprise identity and authentication providers. |
Single Sign-On included per enterprise cloud/on-premise compatibility. | |
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Multi-Factor Authentication (MFA) Supports strong user authentication mechanisms. |
Multi-factor authentication listed in security overview. | |
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Penetration Testing Certification Subject to regular external security testing and certification. |
Product is subject to regular external penetration testing and certifications. | |
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Data Masking & Redaction Sensitive data masked in user interfaces and exports where appropriate. |
Data masking and redaction in UIs/exports for sensitive data available. | |
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Change Management Logging Tracks all configuration, patching, and upgrade activity with audit logs. |
Change management/tracking audit log referenced in infrastructure documentation. | |
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Disaster Recovery Capabilities Supporting failover, backup, and recovery in case of technical outages. |
Disaster recovery, backup, and failover are standard operational features. | |
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Uptime Guarantee Service-level agreement on system uptime. |
No information available | |
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Hosting Model (Cloud/On-Premise/Hybrid) System available for deployment in various infrastructure models. |
Supports cloud, on-premise, or hybrid deployments according to requirements. | |
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Scalability Ability to scale for peak loads or volume growth. |
Designed for scalability to handle large/global volumes. |
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Average Event Processing Time Typical time taken for an event from ingestion to completion. |
No information available | |
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Concurrent User Support Maximum number of active users supported simultaneously. |
No information available | |
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Intuitive User Interface Ergonomic, easy-to-navigate, modern graphical user interface. |
Modern, responsive UI promoted in all product materials. | |
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Help Desk & Vendor Support 24/7 help desk and direct vendor escalation channels. |
24/7 vendor support and escalation available—standard for Finacle. | |
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User Documentation & Training Comprehensive user manuals, release notes, and system training provided. |
Comprehensive documentation and user training provided as standard. | |
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Configurable User Profiles Users can set preferences and personalize dashboard views. |
User preference and dashboard configuration described in solution materials. | |
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Localization & Language Support Multi-language user interface and notifications. |
Localization and translation for global clients referenced. | |
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Accessibility Compliance Meets accessibility standards (e.g., WCAG 2.1, Section 508). |
Accessibility compliance indicated for global clients, but specific accreditations not disclosed. | |
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Continuous System Monitoring Automated health checks and capacity alerts. |
Continuous system monitoring tools for system health and alerts included. | |
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Release & Upgrade Management Clear release scheduling, user notification of enhancements/fixes, and rollback capabilities. |
Release planning, upgrade, user notification features referenced in support guides. |
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