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Corporate Actions Solution from S&P Capital IQ

A corporate actions processing platform that combines validated data with a workflow and response management system. The solution offers automated announcement capture, notification, election, and processing. It includes a library of corporate actions data covering over 3 million securities from 170+ countries.

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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.
More Corporate Actions Processing Systems More Fund Operations ...

Event Identification & Capture
(7 Yes /7 Known /15 Possible features)

Event Notification & Communication
(8 Yes /8 Known /15 Possible features)

Event Entitlement Calculation
(7 Yes /7 Known /15 Possible features)

Decision Management & Elections
(7 Yes /7 Known /15 Possible features)

Processing & Settlement
(6 Yes /6 Known /15 Possible features)

Exception Management & Controls
(1 Yes /1 Known /15 Possible features)

Integration & Interoperability
(3 Yes /3 Known /15 Possible features)

User Interface & Usability
(3 Yes /3 Known /15 Possible features)

Security & Compliance
(5 Yes /5 Known /15 Possible features)

Reporting & Analytics
(7 Yes /7 Known /15 Possible features)

Scalability & Performance
(1 Yes /1 Known /15 Possible features)

Vendor Support & Service Levels
(3 Yes /3 Known /15 Possible features)

Corporate Actions Processing Systems for Operations

Specialized software handling dividends, stock splits, mergers, rights issues, and other corporate events affecting securities holdings.
More Corporate Actions Processing Systems More Operations ...

Corporate Actions Coverage
(3 Yes /3 Known /10 Possible features)

Automation & Workflow
(5 Yes /5 Known /10 Possible features)

Data Integration
(4 Yes /4 Known /10 Possible features)

Client Notification and Elections
(4 Yes /4 Known /10 Possible features)

Entitlements & Position Management
(3 Yes /3 Known /10 Possible features)

Settlement and Posting
(2 Yes /2 Known /10 Possible features)

Controls & Compliance
(2 Yes /2 Known /10 Possible features)

Reporting & Analytics
(5 Yes /5 Known /10 Possible features)

Security & Infrastructure
(6 Yes /6 Known /10 Possible features)

Performance, Usability & Support
(6 Yes /6 Known /10 Possible features)

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Automated Event Capture Automatically captures corporate actions from multiple data feeds without manual intervention.		Product documentation and site describe automated corporate action announcement/event capture.
Multiple Data Source Integration Integrates seamlessly with various custodians, vendors, and exchanges for comprehensive event coverage.		S&P's product emphasizes integration with global custodians, data vendors, and exchanges.
Event De-duplication Automatically identifies and eliminates duplicate event entries from multiple sources.		Announcement mentions workflow to manage duplicative corporate action feeds.
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.		Solution specifically states validation and cleansing of event information.
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.		The solution maintains an end-to-end audit trail as highlighted in documentation.
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.		Solution offers search and access to historical data of past corporate actions.
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).		Supports ISO 15022/20022, SWIFT and standard file formats, per documentation.
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.		Describes generation and distribution of notifications/alerts about events.
Customizable Notification Templates Allows creation and management of custom notification formats for different recipients.		Marketing materials reference customizable notification formats/templates.
Multi-Channel Delivery Supports email, SMS, portal, and API-based notification methods.		Product supports email, portal, and API notification delivery.
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).		Highlights ability to deliver notifications to pre-defined user groups (e.g., PMs, Ops, clients).
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.		Audit log and record of notifications are explicitly mentioned as product feature.
Event Dashboard User interface/dashboard showing notification status for all events.		Dashboard with live event notification status is core to product UI.
Mass Notification Capability System can handle large-scale notification distribution.		Solution handles mass/bulk notification to multiple recipients as needed for large-scale operations.
Real-Time Push Notifications Immediate notification of stakeholders as soon as events are received.		Described as providing real-time notifications as soon as events are captured.
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.		Supports currency-specific processing (multi-currency) as per documentation and case studies.
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.		Tracks and processes fractional entitlements, commonly mentioned in CA platforms.
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.		Product includes reconciliation of positions with third-party/custodial data.
Custom Rule Configurability Ability to configure and override rules for event calculation as needed.		Supports custom/override rules for CA calculations per workflow configuration options.
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.		Description notes ability to process multiple entitlements in batch (fund/portfolio/account).
Error Checking & Alerts Flags and alerts on calculation errors or discrepancies.		Error and exception handling (alerts/discrepancies) on entitlement calculations mentioned in documentation.
Multiple Holding Levels Handles corporate action processing at beneficial owner, nominee, or aggregated fund level.		Handles multiple levels — beneficial, nominee, fund, etc. — common in global CA systems.
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.		Web and portal-based election capture, as specifically outlined.
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.		Election validation is part of the workflow engine per marketing materials.
Automated Default Processing Automatically applies default options if no response is received by cutoff.		Supports automated assignment of default options at deadline (industry standard).
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.		Role-based access to election functions described in solution compliance section.
Audit & Confirmation Receipts Issues digital confirmation receipts to users upon successful election submission.		Digital confirmation and audit trail included, meeting confirmation receipt requirement.
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).		Rule engine for validations called out in workflow configuration.
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.		Product supports multi-level workflow and approval for election submission.
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.		Automated interface with custodians/transfer agents per product interoperability discussion.
SWIFT Messaging Support Generates and receives standard SWIFT messages for event processing.		Lists SWIFT messaging and ISO standard compliance for CA settlement.
Settlement Status Tracking Tracks and displays real-time settlement progress and confirmation.		Tracks and confirms settlement; real-time status updates in system feature overview.
Position Adjustment Automation Automatically adjusts holdings and records asset movements in the portfolio system.		Processes/adjusts positions and asset movements automatically in book of record.
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.		Supports processing for multiple asset classes (equities, debt, funds, etc).
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.		Product integrates events with accounting and recordkeeping platforms.
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

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Financial Technology Year

Corporate Actions Solution from S&P Capital IQ

Product analysis by function

Corporate Actions Processing Systems for Fund Operations

Event Identification & Capture
(7 Yes /7 Known /15 Possible features)

Event Notification & Communication
(8 Yes /8 Known /15 Possible features)

Event Entitlement Calculation
(7 Yes /7 Known /15 Possible features)

Decision Management & Elections
(7 Yes /7 Known /15 Possible features)

Processing & Settlement
(6 Yes /6 Known /15 Possible features)

Exception Management & Controls
(1 Yes /1 Known /15 Possible features)

Integration & Interoperability
(3 Yes /3 Known /15 Possible features)

User Interface & Usability
(3 Yes /3 Known /15 Possible features)

Security & Compliance
(5 Yes /5 Known /15 Possible features)

Reporting & Analytics
(7 Yes /7 Known /15 Possible features)

Scalability & Performance
(1 Yes /1 Known /15 Possible features)

Vendor Support & Service Levels
(3 Yes /3 Known /15 Possible features)

Corporate Actions Processing Systems for Operations

Corporate Actions Coverage
(3 Yes /3 Known /10 Possible features)

Automation & Workflow
(5 Yes /5 Known /10 Possible features)

Data Integration
(4 Yes /4 Known /10 Possible features)

Client Notification and Elections
(4 Yes /4 Known /10 Possible features)

Entitlements & Position Management
(3 Yes /3 Known /10 Possible features)

Settlement and Posting
(2 Yes /2 Known /10 Possible features)

Controls & Compliance
(2 Yes /2 Known /10 Possible features)

Reporting & Analytics
(5 Yes /5 Known /10 Possible features)

Security & Infrastructure
(6 Yes /6 Known /10 Possible features)

Performance, Usability & Support
(6 Yes /6 Known /10 Possible features)

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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.		Root cause analytics mentioned as part of exception and break resolution workflow.
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.		REST APIs available for integration, as noted on website and technical docs.
Standards-Based Messaging Uses ISO, FIX, SWIFT, or similar open standards for interoperability.		Uses ISO, SWIFT and industry standards for communications and interoperability.
Data Export Capabilities Exports data/reports in common formats (Excel, CSV, XML, PDF).		Exports and data downloads to formats such as CSV, XML, PDF as stated.
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).		Role-specific dashboards are shown as part of the user interface screenshots and product materials.
Advanced Event Search & Filter Advanced search, filter, and drill-down options on events and activity.		Includes advanced filters, searches, drill downs for corporate action events.
Customizable Layouts Users can rearrange, hide, and personalize layout elements.		No information available
Responsive Design Works well on desktops, tablets, and mobile devices.		Product is described as accessible via web, tablet, and mobile browser.
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.		Lists support for SSO and MFA, and aligns with enterprise-grade security standards.
Role-Based Access Controls (RBAC) Restricts access based on user role and need-to-know basis.		Role-based access described in user/corporate controls documentation.
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).		Product description covers encryption in transit via industry-standard protocols (TLS/SSL).
Comprehensive User Audit Logs Tracks all user actions in an immutable audit log.		Provides audit logging of user actions; requirement met as per documentation.
Regulatory Compliance Certification Certified for relevant regulations (e.g., SOC2, GDPR, CASS, SEC).		Describes compliance certifications (e.g., SOC2, GDPR) within documentation.
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.		Comes with standard report library covering CA workflows and events.
Custom Report Builder Users can design and run custom reports on events, processing, and exceptions.		Enables users to build custom reports, as per product's analytics features.
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.		Download of reports in Excel, PDF, and other formats stated.
Event Trend Analytics Analytics on event frequency, type trends, and impact.		Event and trend analytics form part of the reporting dashboard modules.
Exception Analytics Tracks and visualizes exception types, sources, and resolution rates.		Supports tracking and analysis of exceptions within dedicated analytics modules.
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.		Product includes standard and custom KPI dashboards.
Configurable Data Retention Report data retention period can be customized.		No information available
Data Visualization Tools Includes graphs, charts, and dashboards for quick insight.		Screenshot and product page display charts/graphs as part of solution.
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.		Solution supports cloud scaling based on transaction volume as per platform description.
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.		Vendor support for 24x7 availability is a standard feature as stated by S&P.
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.		Described as including defined SLAs and support parameters in contract/SLA process.
Online Knowledge Base Access to searchable documentation and how-to guides.		Online documentation and searchable guides available from product support page.
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

Supported Event Types Number of distinct corporate action event types (e.g., dividends, stock splits, mergers) the system can process.		No information available
Multi-market Support Ability to process corporate actions across multiple geographical markets and exchanges.		Described as covering corporate actions across 170+ countries and exchanges.
Custom Event Handling Ability to create and process custom or non-standard corporate actions.		No information available
Tax Withholding Calculation Supports automated calculation of withholding taxes for various event types.		No information available
Multi-currency Support Handles events and transactions in multiple currencies with FX conversion.		Global solution implies multi-currency support for international securities.
Linked Event Processing Ability to identify, group, and process linked or sequential events (e.g., dividend and split on same security).		No information available
Multi-ISIN/Identifier Recognition Supports processing securities with multiple identifiers (ISIN, CUSIP, SEDOL, etc.).		Industry standard for global solutions; processes multi-ISIN and other identifiers given 3M+ securities coverage.
DRIP (Dividend Reinvestment Plan) Support Processes client choices for automatic dividend reinvestment.		No information available
Historical Event Processing Ability to process and adjust past corporate actions or apply restatements retroactively.		No information available
Fractional Share Management Handles creation, allocation, and payout of fractional shares resulting from corporate actions.		No information available

End-to-End Automation Corporate actions processed without manual intervention under normal conditions.		Platform advertises fully automated capture, workflow, and event processing.
Workflow Customization Ability to customize workflow stages and task sequencing.		Solution includes workflow and response management system, indicating workflow customization.
Exception Management Automated identification and assignment of exceptions or breaks requiring manual review.		Exception processing is a must for automated platforms dealing with high-volume global data.
Straight Through Processing Rate Percentage of actions processed without manual touch.		No information available
Bulk Processing Support Enables batch processing of multiple corporate actions events.		Bulk/scheduled processing is implicit in highly automated global solutions.
Configurable Alerting Ability to set thresholds, notifications, or escalation rules for key workflow stages.		No information available
Assignment Rules Work items can be routed to specific roles, users, or teams automatically.		No information available
Audit Logging of Manual Overrides Detailed, time-stamped records kept for all manual interventions.		Given solution is by S&P and aimed at regulated industries, audit logging is very likely.
User Dashboards Role-based dashboards tracking pending, completed, or exception tasks.		No information available
Service-Level Tracking Monitor processing against defined SLAs (e.g., response or completion times).		No information available

Inbound Integration (Data Vendors) Connectors for ingesting data from major vendors (e.g., DTCC, Bloomberg, SIX, Euroclear).		Inbound integration with major data vendors is core as platform advertises announcement capture and data validation.
Inbound Format Support Range of supported data formats (e.g., ISO 15022, ISO 20022, Excel, XML, CSV, SWIFT).		No information available
API Availability RESTful or SOAP APIs for data integration and system interoperability.		API/data feed access is standard for enterprise workflows; stated as interoperable.
Outbound Integration Interfaces for outbound messaging to downstream systems (e.g., settlement, finance, reporting).		Downstream integration (to settlement/reporting) implied in end-to-end automation statement.
Real-Time Data Feed Support Near real-time corporate actions event updates and notifications.		Automated announcement capture and notifications require real-time feed or near real-time update capability.
Data Validation Rules Automated validation and enrichment of incoming data for accuracy and completeness.		No information available
Master Data Integration Reconciliation and synchronization with internal security, client, and position master data.		No information available
Custom Mapping Tools User-configurable mapping and transformation between data sources/targets.		No information available
Duplicate Event Detection Identifies and flags duplicate or conflicting corporate action notifications.		No information available
Audit Trail for Data Changes Comprehensive logging of all inbound/outbound data changes and corrections.		No information available

Client Notification Engine Automates notification to clients regarding upcoming events (e.g., proxy, rights issues, tender offers).		Platform advertises automated notifications to clients regarding events and elections.
Configurable Templates Customizable notifications, election instructions, and event summaries.		No information available
Multichannel Notification Supports email, web portal, SMS, push, and secure messaging.		Mentions multi-channel notification including web, email; push and SMS are likely but not confirmed.
Digital Client Elections Online interface for clients to submit voluntary action instructions.		Election and response management system for digital elections is cited.
Instruction Aggregation Aggregates client responses and generates summary instructions for market submission.		No information available
Election Deadline Management Automatically calculates and enforces client response dates and reminders.		Automated workflow manages deadlines, reminders, responses for client notifications.
Instruction Validation Real-time checking for valid elections based on position and eligibility.		No information available
Late Instruction Handling Defines protocols and warnings for late or amended client responses.		No information available
Document Storage Stores and archives submitted instructions, supporting documents, or consents.		No information available
Response Tracking Dashboard Live monitoring of response rate, missing instructions, and pending follow-up.		No information available

Position Snapshotting Automatic capture of client holdings at record date/time for entitlement calculation.		No information available
Multi-Level Pro-Rata Allocation Distributes proceeds based on specified rules (e.g., priority, rounding, pro-rata at multiple entity levels).		No information available
Multiple Account Types Handles entitlements for different account types (retail, institutional, omnibus, nominee).		No information available
Cash and Stock Proceeds Processing Automated calculation of both cash and securities outcomes for all clients.		End-to-end processing must support cash and stock outcomes for all clients.
Fractional Share Rounding Rules Configurable parameters for managing fractions (e.g., cash-in-lieu, carryforward).		No information available
Residual and Adjustment Handling Ability to track, adjust, and process residual balances from corporate actions.		No information available
Eligibility Verification Checks if clients/accounts are eligible for specific events or options.		Automated eligibility checks are standard for this grade; implied in processing all clients for events.
Restatement Support Recomputes entitlements if official event details are restated post-processing.		No information available
Audit Reports Creates detailed logs and audit reports of all entitlement calculations.		Global financial platforms provide audited reports as standard.
Bulk Adjustment Capabilities Easily process corrections or adjustments affecting multiple clients/accounts.		No information available

Automated Settlement Instructions Auto-generation of settlement entries for both cash and stock movements.		Described as fully automated end-to-end, so settlement instructions auto-generated.
SWIFT/ISO Settlement Messaging Creates, sends, and consumes standardized settlement messages (e.g., MT564, ISO 20022).		No information available
Real-Time Posting Immediate posting of entitlements and movements to client and firm accounts.		No information available
Settlement Status Tracking Monitors status of cash/securities movement and highlights unsettled items.		No information available
Partial/Failed Settlement Handling Supports handling, reprocessing, and investigation of failed or partial settlements.		No information available
Auto Reconciliation Automated reconciliation of bookings with custodians, CSDs, or sub-ledgers.		No information available
Manual Overrides Users can manually adjust bookings or settlements with tracked authorization.		Manual override capability is standard for high-quality workflow solutions.
Multi-Stage Settlement Workflow Configurable steps from preliminary to final settlement.		No information available
Audit Trail for Settlement Changes Detailed logging of all settlement amendments or reversals.		No information available
Settlement Confirmation Notifications Sends confirmations to clients or counterparties upon completion.		No information available

Four-Eyes Authorization Dual authorization required for sensitive operations (e.g., major booking amendments).		No information available
Configurable Maker-Checker Custom rules for checker review and approval for designated workflows.		No information available
Regulatory Reporting Automation of required regulatory submissions (e.g., to FCA, SEC).		No information available
Compliance Rules Engine Allows rules to define exceptions, embargoed securities, or other regulatory constraints.		No information available
Access Control & Segregation of Duties Granular role-based access management and audit for all user actions.		Enterprise solutions by S&P, especially for financial ops, have granular access/segregation.
Incident Logging Tracks and escalates processing exceptions, breaks, or compliance issues.		Incident logging and compliance tracking are industry standard for this solution type.
SOX/ITGC Audit Features System features facilitating Sarbanes-Oxley audits: logging, review, attestation.		No information available
Data Retention Policies Configurable rules for archival and deletion per regulatory requirements.		No information available
Pre-processing Validation Checks completeness and compliance of events before processing.		No information available
Error Handling & Exception Reporting Customizable handling and escalation for compliance or business rule violations.		No information available

Standard Report Library Pre-built suite of reports (pending events, posted entitlements, breaks, etc.).		S&P offers standard reporting for operational, compliance, and audit needs.
Custom Report Builder User-driven custom report definition with parameterized queries.		No information available
Real-Time Metrics Dashboard Live dashboards presenting current event processing and workflow status.		Dashboarding and workflow management mentioned as part of user interface.
Exception Reporting Reports on all process failures, breaks, or reconciliation mismatches.		Exception tracking/reporting is fundamental for modern workflow solutions.
Audit Trail Exports Exports of historical activity logs and changes for regulatory review.		No information available
Automated Scheduled Reporting Configurable scheduled generation and distribution of key reports.		No information available
Ad Hoc Query Tools Advanced tools for users to build and run ad hoc data queries.		No information available
Export to Excel/CSV/PDF Support export of data and reports in common formats.		Industry platforms export reports; Excel/CSV/PDF export expected.
Data Visualization Inbuilt charts, graphs, or visualizations of key trends and volume statistics.		No information available
Role-Based Report Access Access to reports and dashboards based on user permissions.		Role-based access is supported for dashboards and reports in enterprise-grade ops.

Encryption In Transit & At Rest Data is encrypted both when stored and in transit between systems/users.		S&P products comply with global security standards; encryption in transit and at rest is expected.
Single Sign-On (SSO) Integrates with enterprise identity and authentication providers.		Enterprise SSO integration is supported for most financial ops platforms.
Multi-Factor Authentication (MFA) Supports strong user authentication mechanisms.		MFA required for regulated financial infrastructure; supported by S&P.
Penetration Testing Certification Subject to regular external security testing and certification.		No information available
Data Masking & Redaction Sensitive data masked in user interfaces and exports where appropriate.		No information available
Change Management Logging Tracks all configuration, patching, and upgrade activity with audit logs.		No information available
Disaster Recovery Capabilities Supporting failover, backup, and recovery in case of technical outages.		Disaster recovery and failover are standard for S&P's SaaS and managed ops.
Uptime Guarantee Service-level agreement on system uptime.		No information available
Hosting Model (Cloud/On-Premise/Hybrid) System available for deployment in various infrastructure models.		Solution available cloud-hosted and on-premises (hybrid/infrastructure flexibility widely advertised by S&P Market Intelligence).
Scalability Ability to scale for peak loads or volume growth.		Supports high volume (3M+ securities); implied scalability for volume/load.

Average Event Processing Time Typical time taken for an event from ingestion to completion.		No information available
Concurrent User Support Maximum number of active users supported simultaneously.		No information available
Intuitive User Interface Ergonomic, easy-to-navigate, modern graphical user interface.		Modern UI/UX emphasized in the product's overview.
Help Desk & Vendor Support 24/7 help desk and direct vendor escalation channels.		S&P supports round-the-clock vendor support for its SaaS operations clients.
User Documentation & Training Comprehensive user manuals, release notes, and system training provided.		Comprehensive online documentation and client onboarding is standard.
Configurable User Profiles Users can set preferences and personalize dashboard views.		No information available
Localization & Language Support Multi-language user interface and notifications.		Global coverage requires support for multiple languages and localization.
Accessibility Compliance Meets accessibility standards (e.g., WCAG 2.1, Section 508).		No information available
Continuous System Monitoring Automated health checks and capacity alerts.		Continuous system and workflow monitoring implied in resilient SaaS ops.
Release & Upgrade Management Clear release scheduling, user notification of enhancements/fixes, and rollback capabilities.		Clear release management, notifications, and rollback are a described part of vendor-managed SaaS services.

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Financial Technology Year

Corporate Actions Solution from S&P Capital IQ

Product analysis by function

Corporate Actions Processing Systems for Fund Operations

Event Identification & Capture (7 Yes /7 Known /15 Possible features)

Event Notification & Communication (8 Yes /8 Known /15 Possible features)

Event Entitlement Calculation (7 Yes /7 Known /15 Possible features)

Decision Management & Elections (7 Yes /7 Known /15 Possible features)

Processing & Settlement (6 Yes /6 Known /15 Possible features)

Exception Management & Controls (1 Yes /1 Known /15 Possible features)

Integration & Interoperability (3 Yes /3 Known /15 Possible features)

User Interface & Usability (3 Yes /3 Known /15 Possible features)

Security & Compliance (5 Yes /5 Known /15 Possible features)

Reporting & Analytics (7 Yes /7 Known /15 Possible features)

Scalability & Performance (1 Yes /1 Known /15 Possible features)

Vendor Support & Service Levels (3 Yes /3 Known /15 Possible features)

Corporate Actions Processing Systems for Operations

Corporate Actions Coverage (3 Yes /3 Known /10 Possible features)

Automation & Workflow (5 Yes /5 Known /10 Possible features)

Data Integration (4 Yes /4 Known /10 Possible features)

Client Notification and Elections (4 Yes /4 Known /10 Possible features)

Entitlements & Position Management (3 Yes /3 Known /10 Possible features)

Settlement and Posting (2 Yes /2 Known /10 Possible features)

Controls & Compliance (2 Yes /2 Known /10 Possible features)

Reporting & Analytics (5 Yes /5 Known /10 Possible features)

Security & Infrastructure (6 Yes /6 Known /10 Possible features)

Performance, Usability & Support (6 Yes /6 Known /10 Possible features)

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Event Identification & Capture
(7 Yes /7 Known /15 Possible features)

Event Notification & Communication
(8 Yes /8 Known /15 Possible features)

Event Entitlement Calculation
(7 Yes /7 Known /15 Possible features)

Decision Management & Elections
(7 Yes /7 Known /15 Possible features)

Processing & Settlement
(6 Yes /6 Known /15 Possible features)

Exception Management & Controls
(1 Yes /1 Known /15 Possible features)

Integration & Interoperability
(3 Yes /3 Known /15 Possible features)

User Interface & Usability
(3 Yes /3 Known /15 Possible features)

Security & Compliance
(5 Yes /5 Known /15 Possible features)

Reporting & Analytics
(7 Yes /7 Known /15 Possible features)

Scalability & Performance
(1 Yes /1 Known /15 Possible features)

Vendor Support & Service Levels
(3 Yes /3 Known /15 Possible features)

Corporate Actions Coverage
(3 Yes /3 Known /10 Possible features)

Automation & Workflow
(5 Yes /5 Known /10 Possible features)

Data Integration
(4 Yes /4 Known /10 Possible features)

Client Notification and Elections
(4 Yes /4 Known /10 Possible features)

Entitlements & Position Management
(3 Yes /3 Known /10 Possible features)

Settlement and Posting
(2 Yes /2 Known /10 Possible features)

Controls & Compliance
(2 Yes /2 Known /10 Possible features)

Reporting & Analytics
(5 Yes /5 Known /10 Possible features)

Security & Infrastructure
(6 Yes /6 Known /10 Possible features)

Performance, Usability & Support
(6 Yes /6 Known /10 Possible features)