Broadridge Corporate Actions Solution from Broadridge Financial Solutions

An end-to-end corporate actions processing solution that automates the entire corporate actions lifecycle. Features include real-time event capture, workflow automation, risk management, and full audit trail capabilities. The system handles announcement capture, notification, election, and entitlement calculation for all asset classes.

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Product analysis by function

Corporate Actions Processing Systems for Fund Operations

Solutions that manage the identification, notification, decision-making, and processing of corporate events such as dividends, stock splits, mergers, and rights issues that affect securities held in portfolios.
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Event Identification & Capture
(0 Yes /0 Known /15 Possible features)

Event Notification & Communication
(0 Yes /0 Known /15 Possible features)

Event Entitlement Calculation
(0 Yes /0 Known /15 Possible features)

Decision Management & Elections
(0 Yes /0 Known /15 Possible features)

Processing & Settlement
(0 Yes /0 Known /15 Possible features)

Exception Management & Controls
(0 Yes /0 Known /15 Possible features)

Integration & Interoperability
(0 Yes /0 Known /15 Possible features)

User Interface & Usability
(0 Yes /0 Known /15 Possible features)

Security & Compliance
(0 Yes /0 Known /15 Possible features)

Reporting & Analytics
(0 Yes /0 Known /15 Possible features)

Scalability & Performance
(0 Yes /0 Known /15 Possible features)

Vendor Support & Service Levels
(0 Yes /0 Known /15 Possible features)

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Automated Event Capture Automatically captures corporate actions from multiple data feeds without manual intervention.		No information available
Multiple Data Source Integration Integrates seamlessly with various custodians, vendors, and exchanges for comprehensive event coverage.		No information available
Event De-duplication Automatically identifies and eliminates duplicate event entries from multiple sources.		No information available
Manual Event Entry Allows for manual entry of events that may not be available from automated feeds.		No information available
Event Validation Engine Validates event information for consistency and completeness on input.		No information available
Event Capture Latency Time taken for the system to capture and register a new event after it is published by a source.		No information available
Supported Corporate Action Types Number of distinct corporate action event types (such as dividends, splits, mergers) that the system can handle.		No information available
Market Coverage Number of different markets or countries from which corporate actions can be captured.		No information available
End-to-End Audit Trail Maintains a record of all changes and interactions with identified events.		No information available
Event Severity Classification Ability to automatically classify events by risk or importance.		No information available
Historical Event Database Maintains a searchable database of past corporate actions for reference.		No information available
Coverage Updates Frequency Frequency of checking and updating new events from data sources.		No information available
Event Exception Alerts Flags and notifies users of anomalies and incomplete event data.		No information available
Data Feed Standard Support Supports industry standards for importing events (e.g., ISO 15022/20022, SWIFT).		No information available
Bulk Event Upload Allows bulk/event file uploads and batch processing.		No information available

Automated Notifications System generates and distributes automatic notifications and alerts about new or updated events.		No information available
Customizable Notification Templates Allows creation and management of custom notification formats for different recipients.		No information available
Multi-Channel Delivery Supports email, SMS, portal, and API-based notification methods.		No information available
Notification Tracking & Acknowledgement Tracks when notifications are delivered, read, and acknowledged by recipients.		No information available
Recipient Grouping Allows notifications to be sent to pre-defined recipient groups (e.g., portfolio managers, operations, clients).		No information available
Decision Response Deadline Alerts Notifies stakeholders of approaching event election deadlines.		No information available
Notification Audit Trail Keeps a record of all notified messages and responses.		No information available
Event Dashboard User interface/dashboard showing notification status for all events.		No information available
Mass Notification Capability System can handle large-scale notification distribution.		No information available
Real-Time Push Notifications Immediate notification of stakeholders as soon as events are received.		No information available
Language Localization Support Support for multi-language notification templates.		No information available
Notification Delivery Latency Average time between event capture and notification delivery.		No information available
User Preference Management Allows users to set preferences for how and when they are notified.		No information available
Secure Messaging Notifications use secure and/or encrypted channels.		No information available
Escalation Management Notifies supervisors or alternate contacts if deadlines are missed or critical events are ignored.		No information available

Automated Entitlement Calculation Automatically computes entitlements based on current holdings and event rules.		No information available
Multi-Currency Support Handles entitlements in different currencies as per event specifications.		No information available
Tax Withholding Calculation Calculates applicable tax withholdings according to investor and event parameters.		No information available
Fractional Entitlement Handling Processes and tracks fractional shares, cash-in-lieu, or rounding properly.		No information available
Backdated Holding Support Supports calculation based on historical holdings in case of ex-date corrections.		No information available
Position Reconciliation Engine Reconciles calculated entitlements with external custodian/administrator reports.		No information available
Custom Rule Configurability Ability to configure and override rules for event calculation as needed.		No information available
Real-Time Calculation Speed Time taken to calculate entitlements for an entire portfolio of positions.		No information available
Bulk Entitlement Processing Handles bulk calculations for multiple accounts, funds, or portfolios simultaneously.		No information available
Error Checking & Alerts Flags and alerts on calculation errors or discrepancies.		No information available
Multiple Holding Levels Handles corporate action processing at beneficial owner, nominee, or aggregated fund level.		No information available
Audit Trail on Calculations Maintains a record of all calculations and any manual overrides.		No information available
Linked Transaction Handling Processes events that are linked or dependent on other transactions (e.g., conditional offers).		No information available
Comprehensive Reporting Generates comprehensive entitlement and exception reports.		No information available
Eligibility Cut-Off Monitoring Tracks eligibility dates and ensures correct positions are applied.		No information available

Online Election Capture Web-based or portal interface for stakeholders to submit responses/elections.		No information available
Bulk Election Upload Supports batch uploading of instructions for multiple events/accounts.		No information available
Validation of User Elections Validates received elections for correctness, completeness, and eligibility.		No information available
Automated Default Processing Automatically applies default options if no response is received by cutoff.		No information available
Exception Handling Workflow Provides workflow for handling and escalating exceptions or errors in elections.		No information available
Permission-Based Access Restricts who can view or submit elections using role-based access controls.		No information available
Audit & Confirmation Receipts Issues digital confirmation receipts to users upon successful election submission.		No information available
Election Deadline Countdown Live countdowns on system and alerts as deadline approaches for decisions.		No information available
Bulk Decision Processing Speed Time required to process a large batch of election uploads (e.g., 1,000 elections).		No information available
Rule-Based Validations Allows for rule-based checks of submitted elections (e.g., eligibility, max/min choices).		No information available
Flexible Option Configuration Supports varied event options and custom instruction formats.		No information available
Real-Time Decision Status Dashboard Shows live status of all received and pending elections.		No information available
Multi-Level Approval Workflow Supports multi-step approval of elections before final submission.		No information available
Secure Data Capture Ensures election data are encrypted and securely stored.		No information available
Instruction Amendment/Revocation Allows stakeholders to amend or revoke previously made instructions before deadline.		No information available

Automated Processing to Custodians Sends instructions and settlements automatically to custodians, transfer agents, or market.		No information available
SWIFT Messaging Support Generates and receives standard SWIFT messages for event processing.		No information available
Settlement Status Tracking Tracks and displays real-time settlement progress and confirmation.		No information available
Position Adjustment Automation Automatically adjusts holdings and records asset movements in the portfolio system.		No information available
Partial Settlement Handling Handles partial receipts of cash/shares and updates records accordingly.		No information available
End-to-End STP Rate Percentage of corporate actions processed straight-through without manual intervention.		No information available
Exception Queue Workflow Provides a workflow for resolving settlement exceptions and fails.		No information available
Corporate Action Posting Latency Time elapsed from effective date to asset/cash posting in books.		No information available
Multi-Asset Class Handling Processes events for equities, bonds, funds, and other asset types.		No information available
CA Entitlement Posting Rules Configurable rules for when and how entitlements are posted to portfolios.		No information available
Parallel Event Processing Supports simultaneous processing of multiple concurrent events.		No information available
Integration with Accounting Systems Automatically posts and reconciles events to the fund's accounting/bookkeeping platforms.		No information available
Manual Override of Processing Permits users to manually override or intervene in the settlement process if needed.		No information available
Automatic Follow-Up Actions Schedules and triggers follow-up actions (e.g., cash proceeds, tax forms) on completion.		No information available
Settlement Confirmation Reporting Generates downloadable reports on settlement status, including failures and passes.		No information available

Real-Time Exception Detection Monitors workflow and flags exceptions instantly for resolution.		No information available
Automated Exception Routing Automatically assigns exceptions to relevant team members for action.		No information available
Exception Resolution Tracking Logs all actions taken to resolve exceptions and escalations.		No information available
Custom Exception Rule Engine User-configurable rules to define and detect non-standard exceptions.		No information available
Exception Reporting Frequency How often exception reports are generated/updated.		No information available
Exception Escalation Matrix Built-in escalation procedures based on issue type or severity.		No information available
Root Cause Analysis Tool Facilitates root cause analysis for repeated or critical breaks.		No information available
Exception Queue Dashboard Visual dashboard for all open/closed exceptions sorted by event, account, or criticality.		No information available
Error Resolution Time Tracking Records average time taken to resolve exceptions.		No information available
Integration with Issue Tracker Integrates with corporate or IT issue management platforms (e.g., Jira, ServiceNow).		No information available
User Action Audit Captures and tracks all user actions relating to exception management.		No information available
Notification on Unresolved Exceptions Sends alerts/escalations if exceptions remain unresolved past SLAs.		No information available
Exception History Archive Maintains historical archive of all exception cases for audit and training.		No information available
Configurable Severity Levels Allows severity/priority to be set for different exception types.		No information available
Reporting on Recurring Issues Systematically tracks and reports on recurring/long-term exception trends.		No information available

API Availability Offers robust REST/SOAP APIs for data import, export, and integration with third-party systems.		No information available
Standards-Based Messaging Uses ISO, FIX, SWIFT, or similar open standards for interoperability.		No information available
Data Export Capabilities Exports data/reports in common formats (Excel, CSV, XML, PDF).		No information available
Plug-and-Play Interface Provides connectors or plugins for popular fund accounting, OMS, and custody systems.		No information available
Batch Data Transfer Speed Typical time to complete data batch upload/download, e.g., for 100MB.		No information available
Real-Time Data Sync Supports bi-directional real-time syncing with other platforms.		No information available
Custom Integration Toolkit Includes SDKs or tools for building custom integrations.		No information available
Legacy System Compatibility Supports integration with legacy/internal systems.		No information available
File-Based Interface Allows uploads/downloads of standard files for data transfer.		No information available
Middleware Support Compatible with middleware/ESB solutions for data routing and orchestration.		No information available
Cloud Platform APIs Offers integration with major cloud vendors (AWS, Azure, GCP) APIs.		No information available
Integration Certification Certified integrations with major custodians, service providers, and vendors.		No information available
Event-Driven Integration Triggers custom workflows or external processes as events occur.		No information available
SFTP/FTPS Support Supports secure file transfer protocols for automated data movement.		No information available
User-Friendly Configuration Allows business users to set up integrations without extensive IT support.		No information available

Role-Based Dashboards Provides tailored dashboards for different user roles (ops, PMs, clients, risk).		No information available
Advanced Event Search & Filter Advanced search, filter, and drill-down options on events and activity.		No information available
Customizable Layouts Users can rearrange, hide, and personalize layout elements.		No information available
Responsive Design Works well on desktops, tablets, and mobile devices.		No information available
Bulk Action Support Allows users to perform actions on multiple items simultaneously.		No information available
Multi-Language UI Interface available in multiple languages.		No information available
Accessibility Features Supports screen readers, high contrast modes, and keyboard navigation.		No information available
Contextual Help & Tooltips Inline help, tooltips, and guides throughout the workflow.		No information available
User Notifications Center Central hub for all user notifications, alerts, and messages.		No information available
Workflow Visualization Graphical representation or timelines of event life cycle and user actions.		No information available
Settings Personalization Users can set preferences for notifications, layouts, and views.		No information available
Favorites/Bookmarking Enables users to bookmark events or screens for easy access.		No information available
Action Shortcuts Quick links or keyboard shortcuts for frequently used actions.		No information available
Mobile App Availability Dedicated mobile app for on-the-go updates and approvals.		No information available
Performance and Load Time Average interface load time for typical dashboard/logins.		No information available

Multi-Factor Authentication (MFA) Supports MFA for all user logins.		No information available
Role-Based Access Controls (RBAC) Restricts access based on user role and need-to-know basis.		No information available
Data Encryption At Rest Stores all sensitive data in encrypted form in the database.		No information available
Data Encryption In Transit Ensures all data transfer over networks is encrypted (TLS/SSL).		No information available
Comprehensive User Audit Logs Tracks all user actions in an immutable audit log.		No information available
Regulatory Compliance Certification Certified for relevant regulations (e.g., SOC2, GDPR, CASS, SEC).		No information available
Sensitive Data Masking Masks or redacts sensitive data in logs, reports, and UIs.		No information available
Automated Data Retention Policies Implements configurable data retention and disposal routines.		No information available
Access Review & Certification Supports periodic access review and recertification campaigns.		No information available
Penetration Testing Frequency Frequency of penetration/vulnerability testing performed by the provider.		No information available
Incident Response Procedures Documented and tested procedures for managing security incidents and breaches.		No information available
Field-Level Permissions Granularity of access controls at data/field level.		No information available
Automated Compliance Reporting Produces automated compliance reports for auditors/regulators.		No information available
Data Loss Prevention Policies Built-in mechanisms to prevent accidental or malicious data leaks.		No information available
Single Sign-On (SSO) Integration Integrates with enterprise SSO solutions (SAML, OAuth, etc.).		No information available

Standard Report Library Pre-built reports covering all main workflows/events.		No information available
Custom Report Builder Users can design and run custom reports on events, processing, and exceptions.		No information available
Scheduled Report Generation Allows scheduling and automated delivery of reports.		No information available
Real-Time Report Refresh Rate Time between data updates/refresh in real-time dashboards.		No information available
Downloadable Report Formats Exports reports in Excel, PDF, XML, or other standardized formats.		No information available
Event Trend Analytics Analytics on event frequency, type trends, and impact.		No information available
Exception Analytics Tracks and visualizes exception types, sources, and resolution rates.		No information available
Audit Trail Reporting Generates detailed audit trails for selected events, users, or periods.		No information available
KPI Dashboards Visualizes KPIs such as STP rates, election completion rates, and error rates.		No information available
Configurable Data Retention Report data retention period can be customized.		No information available
Data Visualization Tools Includes graphs, charts, and dashboards for quick insight.		No information available
User Activity Reporting Shows metrics and analytics on user/system activity.		No information available
Automated Exception Reports Systematically generates reports on unresolved or high-severity exceptions.		No information available
Cross-System Reporting Combines data from this system with other finance or fund data sources.		No information available
Custom Dashboards per User Allows each user to build and save custom reporting dashboards.		No information available

Concurrent User Capacity Maximum number of users supported simultaneously with no performance drop.		No information available
Transaction Throughput Number of corporate actions/events processed per minute.		No information available
System Uptime Percentage of time the system is available and operational.		No information available
Dynamic Resource Scaling Automatic scale-up/scale-down of resources based on transaction volumes.		No information available
Batch Processing Speed Average time to process standard event batches (e.g., 1,000 events).		No information available
Disaster Recovery RPO Recovery Point Objective in case of system failure.		No information available
Disaster Recovery RTO Recovery Time Objective for restoration of services.		No information available
Data Archival Performance Speed at which old records can be archived or restored.		No information available
Peak Load Testing Certification Evidence of load testing at peak usage scenarios.		No information available
Multi-Region Hosting Supports deployment in multiple geographic data centers.		No information available
Performance Monitoring Tools Built-in dashboards for real-time monitoring of system health and performance.		No information available
Latency Reporting System maintains stats on latency in key workflows (event creation, processing, etc.).		No information available
Asynchronous Processing Support Workloads can be processed asynchronously (not blocking user tasks).		No information available
Zero-Downtime Upgrades Can apply patches/upgrades without user downtime.		No information available
Data Compression Efficiency Compression ratio achieved when archiving or transferring data.		No information available

24x7 Customer Support Availability Customer support is available 24 hours, 7 days a week.		No information available
Dedicated Account Manager A single point of contact for all support and relationship needs.		No information available
Service Level Agreements (SLAs) Clearly defined system and support uptime, resolution, and escalation timelines.		No information available
Online Knowledge Base Access to searchable documentation and how-to guides.		No information available
Client Support Ticketing System Allows logging, tracking, and managing support tickets online.		No information available
System Health Monitoring Proactive monitoring of client instances and notification of issues.		No information available
Client Onboarding Support Offerings for initial setup, training, migration, and go-live.		No information available
Change Request Turnaround Time Typical SLA for implementing small client change requests.		No information available
User Community/Forum Active user community or forum for sharing knowledge and tips.		No information available
Regular Product Updates Frequency of system updates and feature releases.		No information available
Training & Certification Programs Availability of formal training, documentation, and certification for users.		No information available
Multi-Timezone Support Support teams cover multiple time zones for global operations.		No information available
Disaster Recovery Assistance Hands-on vendor support in DR/BCP scenarios.		No information available
Custom Development Services Availability of custom enhancement/build services from vendor.		No information available
Annual Client Satisfaction Survey Regular feedback and satisfaction surveys of client base.		No information available

Broadridge Corporate Actions Solution from Broadridge Financial Solutions

Product analysis by function

Corporate Actions Processing Systems for Fund Operations

Event Identification & Capture (0 Yes /0 Known /15 Possible features)

Event Notification & Communication (0 Yes /0 Known /15 Possible features)

Event Entitlement Calculation (0 Yes /0 Known /15 Possible features)

Decision Management & Elections (0 Yes /0 Known /15 Possible features)

Processing & Settlement (0 Yes /0 Known /15 Possible features)

Exception Management & Controls (0 Yes /0 Known /15 Possible features)

Integration & Interoperability (0 Yes /0 Known /15 Possible features)

User Interface & Usability (0 Yes /0 Known /15 Possible features)

Security & Compliance (0 Yes /0 Known /15 Possible features)

Reporting & Analytics (0 Yes /0 Known /15 Possible features)

Scalability & Performance (0 Yes /0 Known /15 Possible features)

Vendor Support & Service Levels (0 Yes /0 Known /15 Possible features)