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End-to-end corporate actions processing with real-time data, automated workflows, risk mitigation tools, and support for complex event types. Features include event notification, election processing, entitlement calculation, and reconciliation, with multi-entity and multi-currency support.
More about Broadridge Financial Solutions
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.
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Multi-market Support
Ability to process corporate actions across multiple geographical markets and exchanges.
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Custom Event Handling
Ability to create and process custom or non-standard corporate actions.
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Tax Withholding Calculation
Supports automated calculation of withholding taxes for various event types.
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Multi-currency Support
Handles events and transactions in multiple currencies with FX conversion.
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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).
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Multi-ISIN/Identifier Recognition
Supports processing securities with multiple identifiers (ISIN, CUSIP, SEDOL, etc.).
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DRIP (Dividend Reinvestment Plan) Support
Processes client choices for automatic dividend reinvestment.
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Historical Event Processing
Ability to process and adjust past corporate actions or apply restatements retroactively.
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Fractional Share Management
Handles creation, allocation, and payout of fractional shares resulting from corporate actions.
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End-to-End Automation
Corporate actions processed without manual intervention under normal conditions.
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Workflow Customization
Ability to customize workflow stages and task sequencing.
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Exception Management
Automated identification and assignment of exceptions or breaks requiring manual review.
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Straight Through Processing Rate
Percentage of actions processed without manual touch.
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Bulk Processing Support
Enables batch processing of multiple corporate actions events.
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Configurable Alerting
Ability to set thresholds, notifications, or escalation rules for key workflow stages.
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Assignment Rules
Work items can be routed to specific roles, users, or teams automatically.
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Audit Logging of Manual Overrides
Detailed, time-stamped records kept for all manual interventions.
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User Dashboards
Role-based dashboards tracking pending, completed, or exception tasks.
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Service-Level Tracking
Monitor processing against defined SLAs (e.g., response or completion times).
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Inbound Integration (Data Vendors)
Connectors for ingesting data from major vendors (e.g., DTCC, Bloomberg, SIX, Euroclear).
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Inbound Format Support
Range of supported data formats (e.g., ISO 15022, ISO 20022, Excel, XML, CSV, SWIFT).
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API Availability
RESTful or SOAP APIs for data integration and system interoperability.
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Outbound Integration
Interfaces for outbound messaging to downstream systems (e.g., settlement, finance, reporting).
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Real-Time Data Feed Support
Near real-time corporate actions event updates and notifications.
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Data Validation Rules
Automated validation and enrichment of incoming data for accuracy and completeness.
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Master Data Integration
Reconciliation and synchronization with internal security, client, and position master data.
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Custom Mapping Tools
User-configurable mapping and transformation between data sources/targets.
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Duplicate Event Detection
Identifies and flags duplicate or conflicting corporate action notifications.
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Audit Trail for Data Changes
Comprehensive logging of all inbound/outbound data changes and corrections.
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Client Notification Engine
Automates notification to clients regarding upcoming events (e.g., proxy, rights issues, tender offers).
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Configurable Templates
Customizable notifications, election instructions, and event summaries.
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Multichannel Notification
Supports email, web portal, SMS, push, and secure messaging.
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Digital Client Elections
Online interface for clients to submit voluntary action instructions.
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Instruction Aggregation
Aggregates client responses and generates summary instructions for market submission.
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Election Deadline Management
Automatically calculates and enforces client response dates and reminders.
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Instruction Validation
Real-time checking for valid elections based on position and eligibility.
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Late Instruction Handling
Defines protocols and warnings for late or amended client responses.
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Document Storage
Stores and archives submitted instructions, supporting documents, or consents.
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Response Tracking Dashboard
Live monitoring of response rate, missing instructions, and pending follow-up.
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Position Snapshotting
Automatic capture of client holdings at record date/time for entitlement calculation.
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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).
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Multiple Account Types
Handles entitlements for different account types (retail, institutional, omnibus, nominee).
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Cash and Stock Proceeds Processing
Automated calculation of both cash and securities outcomes for all clients.
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Fractional Share Rounding Rules
Configurable parameters for managing fractions (e.g., cash-in-lieu, carryforward).
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Residual and Adjustment Handling
Ability to track, adjust, and process residual balances from corporate actions.
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Eligibility Verification
Checks if clients/accounts are eligible for specific events or options.
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Restatement Support
Recomputes entitlements if official event details are restated post-processing.
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Audit Reports
Creates detailed logs and audit reports of all entitlement calculations.
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Bulk Adjustment Capabilities
Easily process corrections or adjustments affecting multiple clients/accounts.
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Automated Settlement Instructions
Auto-generation of settlement entries for both cash and stock movements.
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SWIFT/ISO Settlement Messaging
Creates, sends, and consumes standardized settlement messages (e.g., MT564, ISO 20022).
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Real-Time Posting
Immediate posting of entitlements and movements to client and firm accounts.
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Settlement Status Tracking
Monitors status of cash/securities movement and highlights unsettled items.
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Partial/Failed Settlement Handling
Supports handling, reprocessing, and investigation of failed or partial settlements.
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Auto Reconciliation
Automated reconciliation of bookings with custodians, CSDs, or sub-ledgers.
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Manual Overrides
Users can manually adjust bookings or settlements with tracked authorization.
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Multi-Stage Settlement Workflow
Configurable steps from preliminary to final settlement.
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Audit Trail for Settlement Changes
Detailed logging of all settlement amendments or reversals.
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Settlement Confirmation Notifications
Sends confirmations to clients or counterparties upon completion.
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Four-Eyes Authorization
Dual authorization required for sensitive operations (e.g., major booking amendments).
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Configurable Maker-Checker
Custom rules for checker review and approval for designated workflows.
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Regulatory Reporting
Automation of required regulatory submissions (e.g., to FCA, SEC).
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Compliance Rules Engine
Allows rules to define exceptions, embargoed securities, or other regulatory constraints.
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Access Control & Segregation of Duties
Granular role-based access management and audit for all user actions.
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Incident Logging
Tracks and escalates processing exceptions, breaks, or compliance issues.
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SOX/ITGC Audit Features
System features facilitating Sarbanes-Oxley audits: logging, review, attestation.
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Data Retention Policies
Configurable rules for archival and deletion per regulatory requirements.
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Pre-processing Validation
Checks completeness and compliance of events before processing.
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Error Handling & Exception Reporting
Customizable handling and escalation for compliance or business rule violations.
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Standard Report Library
Pre-built suite of reports (pending events, posted entitlements, breaks, etc.).
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Custom Report Builder
User-driven custom report definition with parameterized queries.
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Real-Time Metrics Dashboard
Live dashboards presenting current event processing and workflow status.
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Exception Reporting
Reports on all process failures, breaks, or reconciliation mismatches.
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Audit Trail Exports
Exports of historical activity logs and changes for regulatory review.
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Automated Scheduled Reporting
Configurable scheduled generation and distribution of key reports.
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Ad Hoc Query Tools
Advanced tools for users to build and run ad hoc data queries.
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Export to Excel/CSV/PDF
Support export of data and reports in common formats.
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Data Visualization
Inbuilt charts, graphs, or visualizations of key trends and volume statistics.
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Role-Based Report Access
Access to reports and dashboards based on user permissions.
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Encryption In Transit & At Rest
Data is encrypted both when stored and in transit between systems/users.
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Single Sign-On (SSO)
Integrates with enterprise identity and authentication providers.
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Multi-Factor Authentication (MFA)
Supports strong user authentication mechanisms.
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Penetration Testing Certification
Subject to regular external security testing and certification.
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Data Masking & Redaction
Sensitive data masked in user interfaces and exports where appropriate.
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Change Management Logging
Tracks all configuration, patching, and upgrade activity with audit logs.
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Disaster Recovery Capabilities
Supporting failover, backup, and recovery in case of technical outages.
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Uptime Guarantee
Service-level agreement on system uptime.
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Hosting Model (Cloud/On-Premise/Hybrid)
System available for deployment in various infrastructure models.
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Scalability
Ability to scale for peak loads or volume growth.
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Average Event Processing Time
Typical time taken for an event from ingestion to completion.
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Concurrent User Support
Maximum number of active users supported simultaneously.
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Intuitive User Interface
Ergonomic, easy-to-navigate, modern graphical user interface.
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Help Desk & Vendor Support
24/7 help desk and direct vendor escalation channels.
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User Documentation & Training
Comprehensive user manuals, release notes, and system training provided.
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Configurable User Profiles
Users can set preferences and personalize dashboard views.
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Localization & Language Support
Multi-language user interface and notifications.
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Accessibility Compliance
Meets accessibility standards (e.g., WCAG 2.1, Section 508).
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Continuous System Monitoring
Automated health checks and capacity alerts.
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Release & Upgrade Management
Clear release scheduling, user notification of enhancements/fixes, and rollback capabilities.
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