Comprehensive corporate actions processing platform with automated data capture from multiple sources, workflow management, ISO messaging, web-based client notification, and response management. Includes entitlement calculation, payment processing, and full audit trails.
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. |
Platform processes events across multiple global markets and exchanges; multi-market support cited in marketing materials. | |
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Custom Event Handling Ability to create and process custom or non-standard corporate actions. |
Allows configuration of custom/non-standard events as described in platform customization capabilities. | |
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Tax Withholding Calculation Supports automated calculation of withholding taxes for various event types. |
Tax withholding processing referenced in product's entitlement and payment processing documentation. | |
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Multi-currency Support Handles events and transactions in multiple currencies with FX conversion. |
Multi-currency and FX support are cited as core platform features. | |
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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/sequential event processing supported, with examples given for dividends and splits. | |
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Multi-ISIN/Identifier Recognition Supports processing securities with multiple identifiers (ISIN, CUSIP, SEDOL, etc.). |
Product supports multiple securities identifiers (ISIN, CUSIP, SEDOL), per documentation. | |
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DRIP (Dividend Reinvestment Plan) Support Processes client choices for automatic dividend reinvestment. |
DRIP support listed as a processing feature in the product's functionality. | |
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Historical Event Processing Ability to process and adjust past corporate actions or apply restatements retroactively. |
Platform supports historical event adjustments and retroactive restatements. | |
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Fractional Share Management Handles creation, allocation, and payout of fractional shares resulting from corporate actions. |
Fractional share processing included in entitlement and allocation modules. |
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End-to-End Automation Corporate actions processed without manual intervention under normal conditions. |
Described as an automated, end-to-end solution with minimal manual intervention. | |
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Workflow Customization Ability to customize workflow stages and task sequencing. |
Workflow customization available through UI and admin configuration. | |
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Exception Management Automated identification and assignment of exceptions or breaks requiring manual review. |
Exception and break processing described in workflow management modules. | |
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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. |
Bulk/batch processing supported for multiple events and positions. | |
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Configurable Alerting Ability to set thresholds, notifications, or escalation rules for key workflow stages. |
Configurable alerting and notification features built-in. | |
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Assignment Rules Work items can be routed to specific roles, users, or teams automatically. |
Assignment and routing based on roles/teams available within workflow engine. | |
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Audit Logging of Manual Overrides Detailed, time-stamped records kept for all manual interventions. |
Audit logging for manual overrides included in audit and compliance modules. | |
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User Dashboards Role-based dashboards tracking pending, completed, or exception tasks. |
Role-based dashboards available for pending/completed/exception events. | |
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Service-Level Tracking Monitor processing against defined SLAs (e.g., response or completion times). |
Service level tracking for events and workflow times supported. |
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Inbound Integration (Data Vendors) Connectors for ingesting data from major vendors (e.g., DTCC, Bloomberg, SIX, Euroclear). |
Inbound integration with major data vendors (DTCC, Bloomberg, SIX) is a key feature. | |
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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. |
RESTful and SOAP APIs for inbound/outbound integration are referenced. | |
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Outbound Integration Interfaces for outbound messaging to downstream systems (e.g., settlement, finance, reporting). |
Product provides outbound integration/interfaces for settlement and downstream platforms. | |
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Real-Time Data Feed Support Near real-time corporate actions event updates and notifications. |
Near real-time event and data feed support claimed. | |
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Data Validation Rules Automated validation and enrichment of incoming data for accuracy and completeness. |
Automated data validation and enrichment built into ingestion workflows. | |
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Master Data Integration Reconciliation and synchronization with internal security, client, and position master data. |
Master data integration with securities, client, and position data described as a feature. | |
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Custom Mapping Tools User-configurable mapping and transformation between data sources/targets. |
Custom mapping tools available for adapting source and output data. | |
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Duplicate Event Detection Identifies and flags duplicate or conflicting corporate action notifications. |
Duplicate event detection referenced in exception management guides. | |
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Audit Trail for Data Changes Comprehensive logging of all inbound/outbound data changes and corrections. |
Audit trail of all data changes present as part of compliance features. |
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Client Notification Engine Automates notification to clients regarding upcoming events (e.g., proxy, rights issues, tender offers). |
Platform includes automated notification engine for client communication. | |
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Configurable Templates Customizable notifications, election instructions, and event summaries. |
Notification and document templates are configurable. | |
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Multichannel Notification Supports email, web portal, SMS, push, and secure messaging. |
Supports multiple notification channels: email, web portal, SMS, and secure messaging. | |
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Digital Client Elections Online interface for clients to submit voluntary action instructions. |
Digital/web-based election and response management referenced throughout product materials. | |
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Instruction Aggregation Aggregates client responses and generates summary instructions for market submission. |
Aggregates client responses and creates market submission summaries. | |
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Election Deadline Management Automatically calculates and enforces client response dates and reminders. |
Election response deadlines and reminders managed automatically. | |
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Instruction Validation Real-time checking for valid elections based on position and eligibility. |
Real-time instruction validation against positions and eligibility. | |
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Late Instruction Handling Defines protocols and warnings for late or amended client responses. |
Late/amended client instructions handled, with user-defined protocols. | |
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Document Storage Stores and archives submitted instructions, supporting documents, or consents. |
Document storage/archiving included for client responses and supporting docs. | |
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Response Tracking Dashboard Live monitoring of response rate, missing instructions, and pending follow-up. |
Response tracking dashboard is part of XSP web-based client portal. |
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Position Snapshotting Automatic capture of client holdings at record date/time for entitlement calculation. |
Automated position snapshotting on record dates 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). |
Multi-level, rules-based pro-rata allocation supported. | |
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Multiple Account Types Handles entitlements for different account types (retail, institutional, omnibus, nominee). |
Product handles multiple account types, including nominee and omnibus accounts. | |
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Cash and Stock Proceeds Processing Automated calculation of both cash and securities outcomes for all clients. |
Handles both cash and stock proceeds and entitlements. | |
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Fractional Share Rounding Rules Configurable parameters for managing fractions (e.g., cash-in-lieu, carryforward). |
Fractional share rounding is configurable per client/market preference. | |
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Residual and Adjustment Handling Ability to track, adjust, and process residual balances from corporate actions. |
Residuals and adjustment processing described as part of entitlement workflows. | |
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Eligibility Verification Checks if clients/accounts are eligible for specific events or options. |
Eligibility verification for events/options included. | |
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Restatement Support Recomputes entitlements if official event details are restated post-processing. |
Restatement processing for recalculation if event terms change post-processing. | |
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Audit Reports Creates detailed logs and audit reports of all entitlement calculations. |
Detailed audit reports/logs available on calculations and changes. | |
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Bulk Adjustment Capabilities Easily process corrections or adjustments affecting multiple clients/accounts. |
Bulk adjustments and corrections supported for multiple accounts. |
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Automated Settlement Instructions Auto-generation of settlement entries for both cash and stock movements. |
Settlement instructions auto-generated for cash/securities. | |
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SWIFT/ISO Settlement Messaging Creates, sends, and consumes standardized settlement messages (e.g., MT564, ISO 20022). |
SWIFT/ISO messaging (including MT564/ISO 20022) supported for settlements. | |
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Real-Time Posting Immediate posting of entitlements and movements to client and firm accounts. |
Real-time posting of entitlements/settlements supported. | |
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Settlement Status Tracking Monitors status of cash/securities movement and highlights unsettled items. |
Monitors settlement status with alerting for unresolved items. | |
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Partial/Failed Settlement Handling Supports handling, reprocessing, and investigation of failed or partial settlements. |
Handles and investigates failed and partial settlements. | |
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Auto Reconciliation Automated reconciliation of bookings with custodians, CSDs, or sub-ledgers. |
Auto-reconciliation to custodians and CSDs is a key compliance/control feature. | |
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Manual Overrides Users can manually adjust bookings or settlements with tracked authorization. |
Manual override capabilities available with full audit and authorization control. | |
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Multi-Stage Settlement Workflow Configurable steps from preliminary to final settlement. |
Multi-stage settlement workflow is configurable. | |
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Audit Trail for Settlement Changes Detailed logging of all settlement amendments or reversals. |
Audit trails for all settlement events/amendments covered. | |
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Settlement Confirmation Notifications Sends confirmations to clients or counterparties upon completion. |
Settlement confirmation notifications issued to clients. |
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Four-Eyes Authorization Dual authorization required for sensitive operations (e.g., major booking amendments). |
Dual, four-eyes authorization supported for sensitive operations. | |
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Configurable Maker-Checker Custom rules for checker review and approval for designated workflows. |
Maker-checker workflow configurable for critical processes. | |
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Regulatory Reporting Automation of required regulatory submissions (e.g., to FCA, SEC). |
Regulatory reporting (FCA, SEC, local authorities) automated. | |
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Compliance Rules Engine Allows rules to define exceptions, embargoed securities, or other regulatory constraints. |
Compliance rules engine applies business/regulatory policies. | |
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Access Control & Segregation of Duties Granular role-based access management and audit for all user actions. |
Granular access control and segregation of duties built-in. | |
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Incident Logging Tracks and escalates processing exceptions, breaks, or compliance issues. |
System logs and escalates incidents/exceptions. | |
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SOX/ITGC Audit Features System features facilitating Sarbanes-Oxley audits: logging, review, attestation. |
SOX/ITGC auditing support is included to assist compliance. | |
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Data Retention Policies Configurable rules for archival and deletion per regulatory requirements. |
Data retention settings configured for each jurisdiction. | |
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Pre-processing Validation Checks completeness and compliance of events before processing. |
Pre-processing validation for completeness/compliance automatic. | |
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Error Handling & Exception Reporting Customizable handling and escalation for compliance or business rule violations. |
Error and exception handling/reporting customizable. |
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Standard Report Library Pre-built suite of reports (pending events, posted entitlements, breaks, etc.). |
Comes with a standard library of operational and exception reports. | |
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Custom Report Builder User-driven custom report definition with parameterized queries. |
Supports custom report creation and parameterized queries. | |
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Real-Time Metrics Dashboard Live dashboards presenting current event processing and workflow status. |
Live, real-time dashboard views for users and admins. | |
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Exception Reporting Reports on all process failures, breaks, or reconciliation mismatches. |
Exception/break reports automatic and integrated. | |
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Audit Trail Exports Exports of historical activity logs and changes for regulatory review. |
Full export of audit trails for regulatory and compliance review available. | |
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Automated Scheduled Reporting Configurable scheduled generation and distribution of key reports. |
Automated scheduled reporting for key metrics and operations. | |
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Ad Hoc Query Tools Advanced tools for users to build and run ad hoc data queries. |
Ad hoc query/reporting tools included for advanced users. | |
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Export to Excel/CSV/PDF Support export of data and reports in common formats. |
Reports exportable to Excel, CSV and PDF. | |
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Data Visualization Inbuilt charts, graphs, or visualizations of key trends and volume statistics. |
Inbuilt dashboards and data visualization tools available. | |
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Role-Based Report Access Access to reports and dashboards based on user permissions. |
Role-based access to reports and analytics enforced. |
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Encryption In Transit & At Rest Data is encrypted both when stored and in transit between systems/users. |
Data encrypted in transit and at rest; aligns with industry security standards. | |
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Single Sign-On (SSO) Integrates with enterprise identity and authentication providers. |
Single sign-on (SSO) supported for enterprise clients. | |
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Multi-Factor Authentication (MFA) Supports strong user authentication mechanisms. |
Multi-factor authentication is an available security option. | |
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Penetration Testing Certification Subject to regular external security testing and certification. |
Regular penetration testing and external certification undertaken by FIS. | |
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Data Masking & Redaction Sensitive data masked in user interfaces and exports where appropriate. |
Data masking/redaction configurable in the UI and reports. | |
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Change Management Logging Tracks all configuration, patching, and upgrade activity with audit logs. |
Comprehensive change management and patch audit logging. | |
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Disaster Recovery Capabilities Supporting failover, backup, and recovery in case of technical outages. |
Disaster recovery and failover procedures are in place as part of service offering. | |
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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. |
Offered as SaaS (cloud), on-premise, and hybrid deployment. | |
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Scalability Ability to scale for peak loads or volume growth. |
Solution is described as highly scalable for large financial institutions. |
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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. |
User interface is modern, web-based, and usability-focused. | |
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Help Desk & Vendor Support 24/7 help desk and direct vendor escalation channels. |
24/7 help desk and vendor escalation channels available via FIS support. | |
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User Documentation & Training Comprehensive user manuals, release notes, and system training provided. |
User documentation, manuals, and training provided as standard. | |
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Configurable User Profiles Users can set preferences and personalize dashboard views. |
User profiles and dashboard customization configurable. | |
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Localization & Language Support Multi-language user interface and notifications. |
Multi-language support for international user base included. | |
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Accessibility Compliance Meets accessibility standards (e.g., WCAG 2.1, Section 508). |
Accessibility (WCAG/Section 508) compliance referenced for web components. | |
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Continuous System Monitoring Automated health checks and capacity alerts. |
Continuous health and operations monitoring features part of the infrastructure suite. | |
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Release & Upgrade Management Clear release scheduling, user notification of enhancements/fixes, and rollback capabilities. |
Release/upgrade management processes with scheduling, user alerting, and rollback. |
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