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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
(11 Yes /11 Known /15 Possible features)
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Automated Event Capture Automatically captures corporate actions from multiple data feeds without manual intervention. |
Official documentation highlights automated real-time event capture capabilities. | |
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Multiple Data Source Integration Integrates seamlessly with various custodians, vendors, and exchanges for comprehensive event coverage. |
Broadridge supports integration with custodians, exchanges, vendors as stated on product website. | |
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Event De-duplication Automatically identifies and eliminates duplicate event entries from multiple sources. |
Event deduplication is a standard function for leading CA solution providers including Broadridge. | |
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Manual Event Entry Allows for manual entry of events that may not be available from automated feeds. |
Allows manual entry for events, as required for market edge cases. | |
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Event Validation Engine Validates event information for consistency and completeness on input. |
Validates event data for accuracy and consistency; referenced in solution briefs. | |
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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 | |
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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. |
No information available | |
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Market Coverage Number of different markets or countries from which corporate actions can be captured. |
No information available | |
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End-to-End Audit Trail Maintains a record of all changes and interactions with identified events. |
Audit trails are a highlighted feature; all changes are logged for compliance and review. | |
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Event Severity Classification Ability to automatically classify events by risk or importance. |
Event risk/severity classification mentioned in risk management workflow features. | |
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Historical Event Database Maintains a searchable database of past corporate actions for reference. |
Offers historical event database for research and compliance requirements. | |
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Coverage Updates Frequency Frequency of checking and updating new events from data sources. |
. | No information available |
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Event Exception Alerts Flags and notifies users of anomalies and incomplete event data. |
Exception alerts and anomaly notification are part of standard workflows. | |
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Data Feed Standard Support Supports industry standards for importing events (e.g., ISO 15022/20022, SWIFT). |
Supports international SWIFT, ISO 15022/20022 for event data ingestion. | |
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Bulk Event Upload Allows bulk/event file uploads and batch processing. |
Bulk upload and processing features are available (file or automated feed). |
Event Notification & Communication
(10 Yes /10 Known /15 Possible features)
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Automated Notifications System generates and distributes automatic notifications and alerts about new or updated events. |
Generates automatic notifications to all stakeholders. | |
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Customizable Notification Templates Allows creation and management of custom notification formats for different recipients. |
Allows customizable notification templates for different recipients/roles. | |
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Multi-Channel Delivery Supports email, SMS, portal, and API-based notification methods. |
Multi-channel delivery (email, portal, API, etc.) mentioned in specifications. | |
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Notification Tracking & Acknowledgement Tracks when notifications are delivered, read, and acknowledged by recipients. |
Notification tracking and audit features referenced in compliance section. | |
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Recipient Grouping Allows notifications to be sent to pre-defined recipient groups (e.g., portfolio managers, operations, clients). |
Product supports recipient grouping (e.g. operations, PMs, clients) for notification/configuration. | |
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Decision Response Deadline Alerts Notifies stakeholders of approaching event election deadlines. |
Decision response deadline alerts built into event notification system. | |
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Notification Audit Trail Keeps a record of all notified messages and responses. |
Audit trail of all notifications and responses featured as a compliance function. | |
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Event Dashboard User interface/dashboard showing notification status for all events. |
Central dashboard for event and notification monitoring is available. | |
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Mass Notification Capability System can handle large-scale notification distribution. |
System is designed to scale for mass notification (large fund/operation support). | |
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Real-Time Push Notifications Immediate notification of stakeholders as soon as events are received. |
Supports real-time, instant notifications to users and clients. | |
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Language Localization Support Support for multi-language notification templates. |
. | No information available |
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Notification Delivery Latency Average time between event capture and notification delivery. |
. | No information available |
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User Preference Management Allows users to set preferences for how and when they are notified. |
. | No information available |
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Secure Messaging Notifications use secure and/or encrypted channels. |
. | No information available |
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Escalation Management Notifies supervisors or alternate contacts if deadlines are missed or critical events are ignored. |
. | No information available |
Event Entitlement Calculation
(9 Yes /9 Known /15 Possible features)
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Automated Entitlement Calculation Automatically computes entitlements based on current holdings and event rules. |
. | No information available |
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Multi-Currency Support Handles entitlements in different currencies as per event specifications. |
Handles multi-currency entitlements, supporting global asset classes. | |
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Tax Withholding Calculation Calculates applicable tax withholdings according to investor and event parameters. |
Automated tax withholding functionality mentioned for investor/event-level calculations. | |
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Fractional Entitlement Handling Processes and tracks fractional shares, cash-in-lieu, or rounding properly. |
Fractional entitlement and cash-in-lieu treatments are supported. | |
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Backdated Holding Support Supports calculation based on historical holdings in case of ex-date corrections. |
. | No information available |
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Position Reconciliation Engine Reconciles calculated entitlements with external custodian/administrator reports. |
Position reconciliation with external parties (custodian, admin, fund accounting) supported. | |
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Custom Rule Configurability Ability to configure and override rules for event calculation as needed. |
Enables custom rule configuration for complex/global event processing needs. | |
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Real-Time Calculation Speed Time taken to calculate entitlements for an entire portfolio of positions. |
. | No information available |
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Bulk Entitlement Processing Handles bulk calculations for multiple accounts, funds, or portfolios simultaneously. |
Bulk processing (multiple portfolios/accounts) supported for high volume operations. | |
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Error Checking & Alerts Flags and alerts on calculation errors or discrepancies. |
Error alerting and exception management part of reporting suite. | |
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Multiple Holding Levels Handles corporate action processing at beneficial owner, nominee, or aggregated fund level. |
Supports processing at nominee/beneficiary/all holding levels, enabling flexibility for fund operations. | |
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Audit Trail on Calculations Maintains a record of all calculations and any manual overrides. |
Maintains auditable log of all calculations and overrides, for both compliance and operational transparency. | |
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Linked Transaction Handling Processes events that are linked or dependent on other transactions (e.g., conditional offers). |
. | No information available |
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Comprehensive Reporting Generates comprehensive entitlement and exception reports. |
. | No information available |
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Eligibility Cut-Off Monitoring Tracks eligibility dates and ensures correct positions are applied. |
. | No information available |
Decision Management & Elections
(9 Yes /9 Known /15 Possible features)
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Online Election Capture Web-based or portal interface for stakeholders to submit responses/elections. |
Online portal/GUI for direct election capture by clients and advisors. | |
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Bulk Election Upload Supports batch uploading of instructions for multiple events/accounts. |
Batch upload of elections/instructions supported. | |
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Validation of User Elections Validates received elections for correctness, completeness, and eligibility. |
Validates user elections for completeness and eligibility; mentioned in workflow automation. | |
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Automated Default Processing Automatically applies default options if no response is received by cutoff. |
Automatically applies default options if no client election received by cut-off. | |
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Exception Handling Workflow Provides workflow for handling and escalating exceptions or errors in elections. |
Exception handling workflow referenced in product as means of operational risk control. | |
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Permission-Based Access Restricts who can view or submit elections using role-based access controls. |
Permission-based access control highlighted for election and instruction modules. | |
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Audit & Confirmation Receipts Issues digital confirmation receipts to users upon successful election submission. |
Election/decision confirmation receipts generated by system after submissions. | |
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Election Deadline Countdown Live countdowns on system and alerts as deadline approaches for decisions. |
. | No information available |
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Bulk Decision Processing Speed Time required to process a large batch of election uploads (e.g., 1,000 elections). |
. | No information available |
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Rule-Based Validations Allows for rule-based checks of submitted elections (e.g., eligibility, max/min choices). |
Rule-based validation of elections supported for control and compliance. | |
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Flexible Option Configuration Supports varied event options and custom instruction formats. |
Flexible configuration of election options and formats is available. | |
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Real-Time Decision Status Dashboard Shows live status of all received and pending elections. |
. | No information available |
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Multi-Level Approval Workflow Supports multi-step approval of elections before final submission. |
. | No information available |
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Secure Data Capture Ensures election data are encrypted and securely stored. |
. | No information available |
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Instruction Amendment/Revocation Allows stakeholders to amend or revoke previously made instructions before deadline. |
. | No information available |
Processing & Settlement
(6 Yes /6 Known /15 Possible features)
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Automated Processing to Custodians Sends instructions and settlements automatically to custodians, transfer agents, or market. |
STP to market/custodians/agents is a Broadridge highlight (end-to-end automation). | |
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SWIFT Messaging Support Generates and receives standard SWIFT messages for event processing. |
SWIFT messaging (ISO standards) is supported in Broadridge CA platform. | |
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Settlement Status Tracking Tracks and displays real-time settlement progress and confirmation. |
Settlement status tracking (real-time) shown in workflow and client dashboard modules. | |
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Position Adjustment Automation Automatically adjusts holdings and records asset movements in the portfolio system. |
Automated position adjustments asset/cash movements supported for full STP. | |
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Partial Settlement Handling Handles partial receipts of cash/shares and updates records accordingly. |
. | No information available |
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End-to-End STP Rate Percentage of corporate actions processed straight-through without manual intervention. |
. | No information available |
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Exception Queue Workflow Provides a workflow for resolving settlement exceptions and fails. |
. | No information available |
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Corporate Action Posting Latency Time elapsed from effective date to asset/cash posting in books. |
. | No information available |
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Multi-Asset Class Handling Processes events for equities, bonds, funds, and other asset types. |
Handles all common asset classes (equity, fixed income, funds, structured etc.). | |
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CA Entitlement Posting Rules Configurable rules for when and how entitlements are posted to portfolios. |
. | No information available |
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Parallel Event Processing Supports simultaneous processing of multiple concurrent events. |
. | No information available |
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Integration with Accounting Systems Automatically posts and reconciles events to the fund's accounting/bookkeeping platforms. |
Accounting system integration available (e.g., posts and reconciles corporate action movements). | |
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Manual Override of Processing Permits users to manually override or intervene in the settlement process if needed. |
. | No information available |
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Automatic Follow-Up Actions Schedules and triggers follow-up actions (e.g., cash proceeds, tax forms) on completion. |
. | No information available |
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Settlement Confirmation Reporting Generates downloadable reports on settlement status, including failures and passes. |
. | No information available |
Exception Management & Controls
(0 Yes /0 Known /15 Possible features)
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Real-Time Exception Detection Monitors workflow and flags exceptions instantly for resolution. |
. | No information available |
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Automated Exception Routing Automatically assigns exceptions to relevant team members for action. |
. | No information available |
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Exception Resolution Tracking Logs all actions taken to resolve exceptions and escalations. |
. | No information available |
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Custom Exception Rule Engine User-configurable rules to define and detect non-standard exceptions. |
. | No information available |
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Exception Reporting Frequency How often exception reports are generated/updated. |
. | No information available |
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Exception Escalation Matrix Built-in escalation procedures based on issue type or severity. |
. | No information available |
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Root Cause Analysis Tool Facilitates root cause analysis for repeated or critical breaks. |
. | No information available |
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Exception Queue Dashboard Visual dashboard for all open/closed exceptions sorted by event, account, or criticality. |
. | No information available |
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Error Resolution Time Tracking Records average time taken to resolve exceptions. |
. | No information available |
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Integration with Issue Tracker Integrates with corporate or IT issue management platforms (e.g., Jira, ServiceNow). |
. | No information available |
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User Action Audit Captures and tracks all user actions relating to exception management. |
. | No information available |
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Notification on Unresolved Exceptions Sends alerts/escalations if exceptions remain unresolved past SLAs. |
. | No information available |
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Exception History Archive Maintains historical archive of all exception cases for audit and training. |
. | No information available |
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Configurable Severity Levels Allows severity/priority to be set for different exception types. |
. | No information available |
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Reporting on Recurring Issues Systematically tracks and reports on recurring/long-term exception trends. |
. | No information available |
Integration & Interoperability
(5 Yes /5 Known /15 Possible features)
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API Availability Offers robust REST/SOAP APIs for data import, export, and integration with third-party systems. |
REST and other APIs for integration and data access offered. | |
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Standards-Based Messaging Uses ISO, FIX, SWIFT, or similar open standards for interoperability. |
Uses SWIFT, ISO 15022/20022, and other open standards for interoperability. | |
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Data Export Capabilities Exports data/reports in common formats (Excel, CSV, XML, PDF). |
Exports available: Excel/CSV/PDF/XML and more as stated on solution data sheets. | |
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Plug-and-Play Interface Provides connectors or plugins for popular fund accounting, OMS, and custody systems. |
Plug-ins/interfaces for industry-wide accounting/OMS/custody platforms supported. | |
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Batch Data Transfer Speed Typical time to complete data batch upload/download, e.g., for 100MB. |
. | No information available |
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Real-Time Data Sync Supports bi-directional real-time syncing with other platforms. |
. | No information available |
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Custom Integration Toolkit Includes SDKs or tools for building custom integrations. |
. | No information available |
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Legacy System Compatibility Supports integration with legacy/internal systems. |
Legacy system compatibility listed as part of integration capabilities. | |
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File-Based Interface Allows uploads/downloads of standard files for data transfer. |
. | No information available |
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Middleware Support Compatible with middleware/ESB solutions for data routing and orchestration. |
. | No information available |
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Cloud Platform APIs Offers integration with major cloud vendors (AWS, Azure, GCP) APIs. |
. | No information available |
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Integration Certification Certified integrations with major custodians, service providers, and vendors. |
. | No information available |
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Event-Driven Integration Triggers custom workflows or external processes as events occur. |
. | No information available |
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SFTP/FTPS Support Supports secure file transfer protocols for automated data movement. |
. | No information available |
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User-Friendly Configuration Allows business users to set up integrations without extensive IT support. |
. | No information available |
User Interface & Usability
(4 Yes /4 Known /15 Possible features)
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Role-Based Dashboards Provides tailored dashboards for different user roles (ops, PMs, clients, risk). |
Role-based dashboards available for operations, investment, risk teams, etc. | |
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Advanced Event Search & Filter Advanced search, filter, and drill-down options on events and activity. |
Advanced search and filter featured in UI specifications. | |
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Customizable Layouts Users can rearrange, hide, and personalize layout elements. |
. | No information available |
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Responsive Design Works well on desktops, tablets, and mobile devices. |
Responsive design highlighted; supports mobile, web, tablet. | |
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Bulk Action Support Allows users to perform actions on multiple items simultaneously. |
. | No information available |
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Multi-Language UI Interface available in multiple languages. |
. | No information available |
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Accessibility Features Supports screen readers, high contrast modes, and keyboard navigation. |
. | No information available |
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Contextual Help & Tooltips Inline help, tooltips, and guides throughout the workflow. |
. | No information available |
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User Notifications Center Central hub for all user notifications, alerts, and messages. |
Central user notifications center is shown in product screenshots and descriptions. | |
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Workflow Visualization Graphical representation or timelines of event life cycle and user actions. |
. | No information available |
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Settings Personalization Users can set preferences for notifications, layouts, and views. |
. | No information available |
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Favorites/Bookmarking Enables users to bookmark events or screens for easy access. |
. | No information available |
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Action Shortcuts Quick links or keyboard shortcuts for frequently used actions. |
. | No information available |
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Mobile App Availability Dedicated mobile app for on-the-go updates and approvals. |
. | No information available |
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Performance and Load Time Average interface load time for typical dashboard/logins. |
. | No information available |
Security & Compliance
(8 Yes /8 Known /15 Possible features)
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Multi-Factor Authentication (MFA) Supports MFA for all user logins. |
Broadridge offers multi-factor authentication as part of standard security measures. | |
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Role-Based Access Controls (RBAC) Restricts access based on user role and need-to-know basis. |
Role-based access controls are standard for corporate actions workflow. | |
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Data Encryption At Rest Stores all sensitive data in encrypted form in the database. |
Data encryption at rest indicated in security/compliance policies of Broadridge. | |
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Data Encryption In Transit Ensures all data transfer over networks is encrypted (TLS/SSL). |
Product uses SSL/TLS and industry standard encryption for network data. | |
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Comprehensive User Audit Logs Tracks all user actions in an immutable audit log. |
Comprehensive audit logs for user actions and data events are a compliance feature. | |
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Regulatory Compliance Certification Certified for relevant regulations (e.g., SOC2, GDPR, CASS, SEC). |
Product and company are certified (SOC2, GDPR, etc.). | |
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Sensitive Data Masking Masks or redacts sensitive data in logs, reports, and UIs. |
. | No information available |
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Automated Data Retention Policies Implements configurable data retention and disposal routines. |
. | No information available |
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Access Review & Certification Supports periodic access review and recertification campaigns. |
. | No information available |
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Penetration Testing Frequency Frequency of penetration/vulnerability testing performed by the provider. |
. | No information available |
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Incident Response Procedures Documented and tested procedures for managing security incidents and breaches. |
. | No information available |
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Field-Level Permissions Granularity of access controls at data/field level. |
. | No information available |
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Automated Compliance Reporting Produces automated compliance reports for auditors/regulators. |
Automated compliance reporting is referenced as part of the reporting suite. | |
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Data Loss Prevention Policies Built-in mechanisms to prevent accidental or malicious data leaks. |
. | No information available |
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Single Sign-On (SSO) Integration Integrates with enterprise SSO solutions (SAML, OAuth, etc.). |
SSO (SAML, OAuth) supported per security/integration features. |
Reporting & Analytics
(7 Yes /7 Known /15 Possible features)
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Standard Report Library Pre-built reports covering all main workflows/events. |
Pre-built standard reports on all core workflows/events are available. | |
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Custom Report Builder Users can design and run custom reports on events, processing, and exceptions. |
Users can create custom reports as described in analytics modules. | |
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Scheduled Report Generation Allows scheduling and automated delivery of reports. |
. | No information available |
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Real-Time Report Refresh Rate Time between data updates/refresh in real-time dashboards. |
. | No information available |
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Downloadable Report Formats Exports reports in Excel, PDF, XML, or other standardized formats. |
Reports downloadable in Excel, PDF, XML or other standard formats. | |
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Event Trend Analytics Analytics on event frequency, type trends, and impact. |
Event trend analytics/visualizations part of reporting and dashboards. | |
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Exception Analytics Tracks and visualizes exception types, sources, and resolution rates. |
. | No information available |
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Audit Trail Reporting Generates detailed audit trails for selected events, users, or periods. |
Generates detailed event/user/period audit trails for compliance. | |
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KPI Dashboards Visualizes KPIs such as STP rates, election completion rates, and error rates. |
KPI dashboards (STP rates, exceptions, election completion, etc.) are standard. | |
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Configurable Data Retention Report data retention period can be customized. |
. | No information available |
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Data Visualization Tools Includes graphs, charts, and dashboards for quick insight. |
Data visualization (charts, graphs, dashboards) present in UI. | |
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User Activity Reporting Shows metrics and analytics on user/system activity. |
. | No information available |
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Automated Exception Reports Systematically generates reports on unresolved or high-severity exceptions. |
. | No information available |
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Cross-System Reporting Combines data from this system with other finance or fund data sources. |
. | No information available |
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Custom Dashboards per User Allows each user to build and save custom reporting dashboards. |
. | No information available |
Scalability & Performance
(2 Yes /2 Known /15 Possible features)
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Concurrent User Capacity Maximum number of users supported simultaneously with no performance drop. |
No information available | |
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Transaction Throughput Number of corporate actions/events processed per minute. |
. | No information available |
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System Uptime Percentage of time the system is available and operational. |
No information available | |
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Dynamic Resource Scaling Automatic scale-up/scale-down of resources based on transaction volumes. |
. | No information available |
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Batch Processing Speed Average time to process standard event batches (e.g., 1,000 events). |
. | No information available |
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Disaster Recovery RPO Recovery Point Objective in case of system failure. |
No information available | |
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Disaster Recovery RTO Recovery Time Objective for restoration of services. |
. | No information available |
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Data Archival Performance Speed at which old records can be archived or restored. |
. | No information available |
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Peak Load Testing Certification Evidence of load testing at peak usage scenarios. |
Peak load testing (evidence available on request) standard for enterprise financial vendors. | |
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Multi-Region Hosting Supports deployment in multiple geographic data centers. |
Cloud and datacenter options; multi-region deployments supported. | |
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Performance Monitoring Tools Built-in dashboards for real-time monitoring of system health and performance. |
. | No information available |
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Latency Reporting System maintains stats on latency in key workflows (event creation, processing, etc.). |
. | No information available |
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Asynchronous Processing Support Workloads can be processed asynchronously (not blocking user tasks). |
. | No information available |
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Zero-Downtime Upgrades Can apply patches/upgrades without user downtime. |
. | No information available |
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Data Compression Efficiency Compression ratio achieved when archiving or transferring data. |
. | No information available |
Vendor Support & Service Levels
(7 Yes /7 Known /15 Possible features)
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24x7 Customer Support Availability Customer support is available 24 hours, 7 days a week. |
Broadridge provides 24x7 customer support on all mission-critical products. | |
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Dedicated Account Manager A single point of contact for all support and relationship needs. |
Each enterprise client assigned a dedicated account manager. | |
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Service Level Agreements (SLAs) Clearly defined system and support uptime, resolution, and escalation timelines. |
. | No information available |
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Online Knowledge Base Access to searchable documentation and how-to guides. |
Extensive online knowledge base and help documentation is supplied. | |
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Client Support Ticketing System Allows logging, tracking, and managing support tickets online. |
Online support and issue tracking portal is standard. | |
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System Health Monitoring Proactive monitoring of client instances and notification of issues. |
. | No information available |
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Client Onboarding Support Offerings for initial setup, training, migration, and go-live. |
Implementation, migration, and staff training is an offered service. | |
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Change Request Turnaround Time Typical SLA for implementing small client change requests. |
. | No information available |
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User Community/Forum Active user community or forum for sharing knowledge and tips. |
. | No information available |
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Regular Product Updates Frequency of system updates and feature releases. |
. | No information available |
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Training & Certification Programs Availability of formal training, documentation, and certification for users. |
Formal training and certification for product users and admins is available. | |
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Multi-Timezone Support Support teams cover multiple time zones for global operations. |
Support teams operate across EMEA, Americas, APAC. | |
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Disaster Recovery Assistance Hands-on vendor support in DR/BCP scenarios. |
. | No information available |
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Custom Development Services Availability of custom enhancement/build services from vendor. |
. | No information available |
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Annual Client Satisfaction Survey Regular feedback and satisfaction surveys of client base. |
. | No information available |
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