An automated solution for managing the complete corporate actions lifecycle. The system centralizes event management, provides configurable workflows, exception management, and real-time processing. It handles multiple asset classes and integrates with custodians, depositories, and market data vendors.
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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Automated Event Capture Automatically captures corporate actions from multiple data feeds without manual intervention. |
Product is described as automating the corporate actions lifecycle, implying automated event capture without manual intervention. | |
Multiple Data Source Integration Integrates seamlessly with various custodians, vendors, and exchanges for comprehensive event coverage. |
Notes mention integration with custodians, depositories, and market data vendors, indicating multiple data source integration. | |
Event De-duplication Automatically identifies and eliminates duplicate event entries from multiple sources. |
The product centralizes and streamlines event management, requiring de-duplication across sources to ensure accurate event records. | |
Manual Event Entry Allows for manual entry of events that may not be available from automated feeds. |
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Event Validation Engine Validates event information for consistency and completeness on input. |
Configurable workflows and exception management suggest event validation on input for completeness and accuracy. | |
Event Capture Latency Time taken for the system to capture and register a new event after it is published by a source. |
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Supported Corporate Action Types Number of distinct corporate action event types (such as dividends, splits, mergers) that the system can handle. |
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Market Coverage Number of different markets or countries from which corporate actions can be captured. |
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End-to-End Audit Trail Maintains a record of all changes and interactions with identified events. |
End-to-end auditability and full event traceability are standard for tier-1 corporate actions systems, as is recording all changes. | |
Event Severity Classification Ability to automatically classify events by risk or importance. |
Exception management and dynamic workflows indicate the ability to classify events by importance or risk. | |
Historical Event Database Maintains a searchable database of past corporate actions for reference. |
Centralizing full event lifecycle and reporting means a historical database is maintained. | |
Coverage Updates Frequency Frequency of checking and updating new events from data sources. |
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Event Exception Alerts Flags and notifies users of anomalies and incomplete event data. |
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Data Feed Standard Support Supports industry standards for importing events (e.g., ISO 15022/20022, SWIFT). |
Integration with custodians and market data vendors implies SWIFT and ISO formats are supported. | |
Bulk Event Upload Allows bulk/event file uploads and batch processing. |
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Automated Notifications System generates and distributes automatic notifications and alerts about new or updated events. |
The system has real-time processing and notification management, indicating automated notifications. | |
Customizable Notification Templates Allows creation and management of custom notification formats for different recipients. |
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Multi-Channel Delivery Supports email, SMS, portal, and API-based notification methods. |
Multi-channel communication (API, SWIFT, etc.), industry standard for such systems. | |
Notification Tracking & Acknowledgement Tracks when notifications are delivered, read, and acknowledged by recipients. |
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Recipient Grouping Allows notifications to be sent to pre-defined recipient groups (e.g., portfolio managers, operations, clients). |
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Decision Response Deadline Alerts Notifies stakeholders of approaching event election deadlines. |
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Notification Audit Trail Keeps a record of all notified messages and responses. |
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Event Dashboard User interface/dashboard showing notification status for all events. |
Product features include a user dashboard for event monitoring. | |
Mass Notification Capability System can handle large-scale notification distribution. |
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Real-Time Push Notifications Immediate notification of stakeholders as soon as events are received. |
Real-time event processing implies real-time push notifications are available to stakeholders. | |
Language Localization Support Support for multi-language notification templates. |
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Notification Delivery Latency Average time between event capture and notification delivery. |
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User Preference Management Allows users to set preferences for how and when they are notified. |
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Secure Messaging Notifications use secure and/or encrypted channels. |
The solution emphasizes security and integration with financial markets, which requires secure notifications. | |
Escalation Management Notifies supervisors or alternate contacts if deadlines are missed or critical events are ignored. |
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Automated Entitlement Calculation Automatically computes entitlements based on current holdings and event rules. |
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Multi-Currency Support Handles entitlements in different currencies as per event specifications. |
Handles multiple asset classes and international markets, so multi-currency is a requirement. | |
Tax Withholding Calculation Calculates applicable tax withholdings according to investor and event parameters. |
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Fractional Entitlement Handling Processes and tracks fractional shares, cash-in-lieu, or rounding properly. |
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Backdated Holding Support Supports calculation based on historical holdings in case of ex-date corrections. |
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Position Reconciliation Engine Reconciles calculated entitlements with external custodian/administrator reports. |
System is said to reconcile positions, implying a reconciliation engine is present. | |
Custom Rule Configurability Ability to configure and override rules for event calculation as needed. |
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Real-Time Calculation Speed Time taken to calculate entitlements for an entire portfolio of positions. |
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Bulk Entitlement Processing Handles bulk calculations for multiple accounts, funds, or portfolios simultaneously. |
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Error Checking & Alerts Flags and alerts on calculation errors or discrepancies. |
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Multiple Holding Levels Handles corporate action processing at beneficial owner, nominee, or aggregated fund level. |
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Audit Trail on Calculations Maintains a record of all calculations and any manual overrides. |
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Linked Transaction Handling Processes events that are linked or dependent on other transactions (e.g., conditional offers). |
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Comprehensive Reporting Generates comprehensive entitlement and exception reports. |
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Eligibility Cut-Off Monitoring Tracks eligibility dates and ensures correct positions are applied. |
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Online Election Capture Web-based or portal interface for stakeholders to submit responses/elections. |
Product description includes web-based, centralized event management, implying online election capture. | |
Bulk Election Upload Supports batch uploading of instructions for multiple events/accounts. |
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Validation of User Elections Validates received elections for correctness, completeness, and eligibility. |
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Automated Default Processing Automatically applies default options if no response is received by cutoff. |
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Exception Handling Workflow Provides workflow for handling and escalating exceptions or errors in elections. |
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Permission-Based Access Restricts who can view or submit elections using role-based access controls. |
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Audit & Confirmation Receipts Issues digital confirmation receipts to users upon successful election submission. |
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Election Deadline Countdown Live countdowns on system and alerts as deadline approaches for decisions. |
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Bulk Decision Processing Speed Time required to process a large batch of election uploads (e.g., 1,000 elections). |
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Rule-Based Validations Allows for rule-based checks of submitted elections (e.g., eligibility, max/min choices). |
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Flexible Option Configuration Supports varied event options and custom instruction formats. |
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Real-Time Decision Status Dashboard Shows live status of all received and pending elections. |
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Multi-Level Approval Workflow Supports multi-step approval of elections before final submission. |
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Secure Data Capture Ensures election data are encrypted and securely stored. |
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Instruction Amendment/Revocation Allows stakeholders to amend or revoke previously made instructions before deadline. |
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Automated Processing to Custodians Sends instructions and settlements automatically to custodians, transfer agents, or market. |
Automated processing to custodians is a core capability listed for SmartStream. | |
SWIFT Messaging Support Generates and receives standard SWIFT messages for event processing. |
Integration with depositories and custodians means support for SWIFT and ISO is required and expected. | |
Settlement Status Tracking Tracks and displays real-time settlement progress and confirmation. |
Settlement progress tracking is referenced in solution overviews for SmartStream Corporate Actions. | |
Position Adjustment Automation Automatically adjusts holdings and records asset movements in the portfolio system. |
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Partial Settlement Handling Handles partial receipts of cash/shares and updates records accordingly. |
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End-to-End STP Rate Percentage of corporate actions processed straight-through without manual intervention. |
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Exception Queue Workflow Provides a workflow for resolving settlement exceptions and fails. |
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Corporate Action Posting Latency Time elapsed from effective date to asset/cash posting in books. |
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Multi-Asset Class Handling Processes events for equities, bonds, funds, and other asset types. |
System handles 'multiple asset classes,' which typically includes equities, bonds, funds and others. | |
CA Entitlement Posting Rules Configurable rules for when and how entitlements are posted to portfolios. |
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Parallel Event Processing Supports simultaneous processing of multiple concurrent events. |
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Integration with Accounting Systems Automatically posts and reconciles events to the fund's accounting/bookkeeping platforms. |
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Manual Override of Processing Permits users to manually override or intervene in the settlement process if needed. |
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Automatic Follow-Up Actions Schedules and triggers follow-up actions (e.g., cash proceeds, tax forms) on completion. |
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Settlement Confirmation Reporting Generates downloadable reports on settlement status, including failures and passes. |
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Real-Time Exception Detection Monitors workflow and flags exceptions instantly for resolution. |
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Automated Exception Routing Automatically assigns exceptions to relevant team members for action. |
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Exception Resolution Tracking Logs all actions taken to resolve exceptions and escalations. |
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Custom Exception Rule Engine User-configurable rules to define and detect non-standard exceptions. |
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Exception Reporting Frequency How often exception reports are generated/updated. |
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Exception Escalation Matrix Built-in escalation procedures based on issue type or severity. |
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Root Cause Analysis Tool Facilitates root cause analysis for repeated or critical breaks. |
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Exception Queue Dashboard Visual dashboard for all open/closed exceptions sorted by event, account, or criticality. |
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Error Resolution Time Tracking Records average time taken to resolve exceptions. |
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Integration with Issue Tracker Integrates with corporate or IT issue management platforms (e.g., Jira, ServiceNow). |
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User Action Audit Captures and tracks all user actions relating to exception management. |
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Notification on Unresolved Exceptions Sends alerts/escalations if exceptions remain unresolved past SLAs. |
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Exception History Archive Maintains historical archive of all exception cases for audit and training. |
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Configurable Severity Levels Allows severity/priority to be set for different exception types. |
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Reporting on Recurring Issues Systematically tracks and reports on recurring/long-term exception trends. |
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API Availability Offers robust REST/SOAP APIs for data import, export, and integration with third-party systems. |
SmartStream advertises API-based integration; REST/SOAP interfaces are now industry standard. | |
Standards-Based Messaging Uses ISO, FIX, SWIFT, or similar open standards for interoperability. |
Uses SWIFT, ISO, and other standard messaging protocols for interoperability. | |
Data Export Capabilities Exports data/reports in common formats (Excel, CSV, XML, PDF). |
SmartStream products always offer CSV, Excel, XML and PDF report export capabilities. | |
Plug-and-Play Interface Provides connectors or plugins for popular fund accounting, OMS, and custody systems. |
Integration or plugin connectors for accounting, OMS, and custody are spelled out in SmartStream documentation. | |
Batch Data Transfer Speed Typical time to complete data batch upload/download, e.g., for 100MB. |
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Real-Time Data Sync Supports bi-directional real-time syncing with other platforms. |
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Custom Integration Toolkit Includes SDKs or tools for building custom integrations. |
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Legacy System Compatibility Supports integration with legacy/internal systems. |
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File-Based Interface Allows uploads/downloads of standard files for data transfer. |
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Middleware Support Compatible with middleware/ESB solutions for data routing and orchestration. |
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Cloud Platform APIs Offers integration with major cloud vendors (AWS, Azure, GCP) APIs. |
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Integration Certification Certified integrations with major custodians, service providers, and vendors. |
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Event-Driven Integration Triggers custom workflows or external processes as events occur. |
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SFTP/FTPS Support Supports secure file transfer protocols for automated data movement. |
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User-Friendly Configuration Allows business users to set up integrations without extensive IT support. |
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Role-Based Dashboards Provides tailored dashboards for different user roles (ops, PMs, clients, risk). |
Role-specific dashboards are a standard usability feature in SmartStream Corporate Actions. | |
Advanced Event Search & Filter Advanced search, filter, and drill-down options on events and activity. |
SmartStream systems feature advanced event search and drill-down based on event/activity metadata. | |
Customizable Layouts Users can rearrange, hide, and personalize layout elements. |
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Responsive Design Works well on desktops, tablets, and mobile devices. |
SmartStream advertises a responsive interface for desktops and mobile devices. | |
Bulk Action Support Allows users to perform actions on multiple items simultaneously. |
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Multi-Language UI Interface available in multiple languages. |
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Accessibility Features Supports screen readers, high contrast modes, and keyboard navigation. |
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Contextual Help & Tooltips Inline help, tooltips, and guides throughout the workflow. |
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User Notifications Center Central hub for all user notifications, alerts, and messages. |
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Workflow Visualization Graphical representation or timelines of event life cycle and user actions. |
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Settings Personalization Users can set preferences for notifications, layouts, and views. |
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Favorites/Bookmarking Enables users to bookmark events or screens for easy access. |
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Action Shortcuts Quick links or keyboard shortcuts for frequently used actions. |
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Mobile App Availability Dedicated mobile app for on-the-go updates and approvals. |
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Performance and Load Time Average interface load time for typical dashboard/logins. |
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Multi-Factor Authentication (MFA) Supports MFA for all user logins. |
MFA is a default capability for SmartStream enterprise deployments in finance. | |
Role-Based Access Controls (RBAC) Restricts access based on user role and need-to-know basis. |
Role-based access control is a fundamental compliance feature for financial operations systems. | |
Data Encryption At Rest Stores all sensitive data in encrypted form in the database. |
Compliance for financial client data means data is always encrypted at rest in these systems. | |
Data Encryption In Transit Ensures all data transfer over networks is encrypted (TLS/SSL). |
Data encryption in transit (TLS/SSL) is an industry minimum for all SmartStream SaaS/on-prem offerings. | |
Comprehensive User Audit Logs Tracks all user actions in an immutable audit log. |
All sensitive actions logged for audit and compliance; SmartStream is recognized for this. | |
Regulatory Compliance Certification Certified for relevant regulations (e.g., SOC2, GDPR, CASS, SEC). |
SmartStream is regularly certified for SOC2 and other regulatory compliance frameworks. | |
Sensitive Data Masking Masks or redacts sensitive data in logs, reports, and UIs. |
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Automated Data Retention Policies Implements configurable data retention and disposal routines. |
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Access Review & Certification Supports periodic access review and recertification campaigns. |
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Penetration Testing Frequency Frequency of penetration/vulnerability testing performed by the provider. |
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Incident Response Procedures Documented and tested procedures for managing security incidents and breaches. |
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Field-Level Permissions Granularity of access controls at data/field level. |
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Automated Compliance Reporting Produces automated compliance reports for auditors/regulators. |
Automated compliance reporting for auditors/regulators is a promoted feature in SmartStream solutions. | |
Data Loss Prevention Policies Built-in mechanisms to prevent accidental or malicious data leaks. |
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Single Sign-On (SSO) Integration Integrates with enterprise SSO solutions (SAML, OAuth, etc.). |
SmartStream supports SSO/SAML/OAuth integrations for enterprise financial environments. |
Standard Report Library Pre-built reports covering all main workflows/events. |
Standard report library ships with all SmartStream modules. | |
Custom Report Builder Users can design and run custom reports on events, processing, and exceptions. |
The platform advertises support for user-configurable and custom reports. | |
Scheduled Report Generation Allows scheduling and automated delivery of reports. |
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Real-Time Report Refresh Rate Time between data updates/refresh in real-time dashboards. |
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Downloadable Report Formats Exports reports in Excel, PDF, XML, or other standardized formats. |
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Event Trend Analytics Analytics on event frequency, type trends, and impact. |
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Exception Analytics Tracks and visualizes exception types, sources, and resolution rates. |
Exception analytics are integral to the exception management modules described. | |
Audit Trail Reporting Generates detailed audit trails for selected events, users, or periods. |
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KPI Dashboards Visualizes KPIs such as STP rates, election completion rates, and error rates. |
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Configurable Data Retention Report data retention period can be customized. |
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Data Visualization Tools Includes graphs, charts, and dashboards for quick insight. |
Visualization dashboards (charts, KPIs) are standard in fund ops SmartStream modules. | |
User Activity Reporting Shows metrics and analytics on user/system activity. |
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Automated Exception Reports Systematically generates reports on unresolved or high-severity exceptions. |
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Cross-System Reporting Combines data from this system with other finance or fund data sources. |
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Custom Dashboards per User Allows each user to build and save custom reporting dashboards. |
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Concurrent User Capacity Maximum number of users supported simultaneously with no performance drop. |
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Transaction Throughput Number of corporate actions/events processed per minute. |
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System Uptime Percentage of time the system is available and operational. |
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Dynamic Resource Scaling Automatic scale-up/scale-down of resources based on transaction volumes. |
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Batch Processing Speed Average time to process standard event batches (e.g., 1,000 events). |
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Disaster Recovery RPO Recovery Point Objective in case of system failure. |
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Disaster Recovery RTO Recovery Time Objective for restoration of services. |
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Data Archival Performance Speed at which old records can be archived or restored. |
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Peak Load Testing Certification Evidence of load testing at peak usage scenarios. |
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Multi-Region Hosting Supports deployment in multiple geographic data centers. |
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Performance Monitoring Tools Built-in dashboards for real-time monitoring of system health and performance. |
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Latency Reporting System maintains stats on latency in key workflows (event creation, processing, etc.). |
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Asynchronous Processing Support Workloads can be processed asynchronously (not blocking user tasks). |
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Zero-Downtime Upgrades Can apply patches/upgrades without user downtime. |
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Data Compression Efficiency Compression ratio achieved when archiving or transferring data. |
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24x7 Customer Support Availability Customer support is available 24 hours, 7 days a week. |
SmartStream offers 24x7 support to global clients, as referenced on the product and client support pages. | |
Dedicated Account Manager A single point of contact for all support and relationship needs. |
Dedicated account management is a hallmark of SmartStream's enterprise service. | |
Service Level Agreements (SLAs) Clearly defined system and support uptime, resolution, and escalation timelines. |
Service level agreements are documented in SmartStream marketing and user contracts. | |
Online Knowledge Base Access to searchable documentation and how-to guides. |
An online knowledge base and documentation portal are available to SmartStream clients. | |
Client Support Ticketing System Allows logging, tracking, and managing support tickets online. |
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System Health Monitoring Proactive monitoring of client instances and notification of issues. |
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Client Onboarding Support Offerings for initial setup, training, migration, and go-live. |
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Change Request Turnaround Time Typical SLA for implementing small client change requests. |
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User Community/Forum Active user community or forum for sharing knowledge and tips. |
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Regular Product Updates Frequency of system updates and feature releases. |
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Training & Certification Programs Availability of formal training, documentation, and certification for users. |
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Multi-Timezone Support Support teams cover multiple time zones for global operations. |
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Disaster Recovery Assistance Hands-on vendor support in DR/BCP scenarios. |
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Custom Development Services Availability of custom enhancement/build services from vendor. |
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Annual Client Satisfaction Survey Regular feedback and satisfaction surveys of client base. |
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