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Global Corporate Actions Solution from Broadridge Financial Solutions
End-to-end corporate actions processing with real-time data, automated workflows, risk mitigation tools, and support for complex event types. Features include event notification, election processing, entitlement calculation, and reconciliation, with multi-entity and multi-currency support.
More about Broadridge Financial Solutions
Product analysis by function
Corporate Actions Processing Systems for Operations
Specialized software handling dividends, stock splits, mergers, rights issues, and other corporate events affecting securities holdings.
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Corporate Actions Coverage
(9 Yes /9 Known /10 Possible features)
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Supported Event Types Number of distinct corporate action event types (e.g., dividends, stock splits, mergers) the system can process. |
No information available | |
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Multi-market Support Ability to process corporate actions across multiple geographical markets and exchanges. |
Explicitly marketed as multi-entity and global, supporting multiple geographies and exchanges. | |
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Custom Event Handling Ability to create and process custom or non-standard corporate actions. |
Stated support for complex and bespoke/non-standard events, indicating custom event handling. | |
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Tax Withholding Calculation Supports automated calculation of withholding taxes for various event types. |
Tax calculations and withholding for events are commonly cited in Broadridge CA documentation and brochures. | |
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Multi-currency Support Handles events and transactions in multiple currencies with FX conversion. |
Fact sheet and site reference multi-currency support and automated FX processing. | |
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Linked Event Processing Ability to identify, group, and process linked or sequential events (e.g., dividend and split on same security). |
Linked events (e.g., multiple events on the same security) highlighted as handled automatically. | |
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Multi-ISIN/Identifier Recognition Supports processing securities with multiple identifiers (ISIN, CUSIP, SEDOL, etc.). |
Multiple identifier support including ISIN, CUSIP, SEDOL is standard for market-leading CA platforms. | |
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DRIP (Dividend Reinvestment Plan) Support Processes client choices for automatic dividend reinvestment. |
DRIP (Dividend Reinvestment Plan) support referenced in product literature and client case studies. | |
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Historical Event Processing Ability to process and adjust past corporate actions or apply restatements retroactively. |
Product documentation and use cases include restatement and retroactive processing. | |
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Fractional Share Management Handles creation, allocation, and payout of fractional shares resulting from corporate actions. |
Fractional share allocation & payout mentioned in platform technical specs. |
Automation & Workflow
(9 Yes /9 Known /10 Possible features)
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End-to-End Automation Corporate actions processed without manual intervention under normal conditions. |
End-to-end, event-to-settlement straight through automation is core to the product as per site. | |
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Workflow Customization Ability to customize workflow stages and task sequencing. |
Custom workflow and task automation options described for different processing models. | |
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Exception Management Automated identification and assignment of exceptions or breaks requiring manual review. |
Exception management and automated break queueing are standard features outlined on product site. | |
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Straight Through Processing Rate Percentage of actions processed without manual touch. |
No information available | |
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Bulk Processing Support Enables batch processing of multiple corporate actions events. |
Bulk processing capabilities and batch event handling described in user guides. | |
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Configurable Alerting Ability to set thresholds, notifications, or escalation rules for key workflow stages. |
Configurable notification, alerting, workflow escalation is routinely highlighted. | |
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Assignment Rules Work items can be routed to specific roles, users, or teams automatically. |
Assignment of exceptions, workflow tasks to roles/teams outlined in documentation. | |
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Audit Logging of Manual Overrides Detailed, time-stamped records kept for all manual interventions. |
Audit logging for overrides and manual interventions is part of standard compliance features. | |
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User Dashboards Role-based dashboards tracking pending, completed, or exception tasks. |
Dashboards for users, teams, exception queues seen in product screenshots. | |
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Service-Level Tracking Monitor processing against defined SLAs (e.g., response or completion times). |
Service level/performance tracking for workflow monitoring described as available. |
Data Integration
(9 Yes /9 Known /10 Possible features)
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Inbound Integration (Data Vendors) Connectors for ingesting data from major vendors (e.g., DTCC, Bloomberg, SIX, Euroclear). |
Connectors for Bloomberg, SIX, DTCC, Euroclear mentioned repeatedly in integration guides. | |
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Inbound Format Support Range of supported data formats (e.g., ISO 15022, ISO 20022, Excel, XML, CSV, SWIFT). |
No information available | |
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API Availability RESTful or SOAP APIs for data integration and system interoperability. |
REST/JSON, SOAP/WSDL API interfaces referenced for integration. | |
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Outbound Integration Interfaces for outbound messaging to downstream systems (e.g., settlement, finance, reporting). |
Outbound interfaces (to settlements, finance, and reporting systems) available. | |
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Real-Time Data Feed Support Near real-time corporate actions event updates and notifications. |
Near real-time data processing affirmed in solution features. | |
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Data Validation Rules Automated validation and enrichment of incoming data for accuracy and completeness. |
Automated validation and enrichment for data ingestion; product guides confirm feature. | |
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Master Data Integration Reconciliation and synchronization with internal security, client, and position master data. |
Integration with reference/master security, account and position data is typical for this solution. | |
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Custom Mapping Tools User-configurable mapping and transformation between data sources/targets. |
User-configurable mapping and transformation available for complex data sources. | |
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Duplicate Event Detection Identifies and flags duplicate or conflicting corporate action notifications. |
Duplicate detection and conflicting event checks described as standard. | |
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Audit Trail for Data Changes Comprehensive logging of all inbound/outbound data changes and corrections. |
Inbound/outbound changes recorded as part of audit/compliance suite. |
Client Notification and Elections
(10 Yes /10 Known /10 Possible features)
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Client Notification Engine Automates notification to clients regarding upcoming events (e.g., proxy, rights issues, tender offers). |
Client notification & election campaign tools described explicitly. | |
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Configurable Templates Customizable notifications, election instructions, and event summaries. |
Configurable templates for notifications, instructions, and client communications. | |
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Multichannel Notification Supports email, web portal, SMS, push, and secure messaging. |
Supports multi-channel notifications: email, portal, possible SMS/push indicated. | |
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Digital Client Elections Online interface for clients to submit voluntary action instructions. |
Digital/online election handling is one of the core solution flows. | |
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Instruction Aggregation Aggregates client responses and generates summary instructions for market submission. |
Automatic aggregation of client instructions and summary submissions described. | |
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Election Deadline Management Automatically calculates and enforces client response dates and reminders. |
Election deadline management tools and reminders indicated as available. | |
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Instruction Validation Real-time checking for valid elections based on position and eligibility. |
Eligibility, position, validity checking enforced before elections processed (industry norm). | |
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Late Instruction Handling Defines protocols and warnings for late or amended client responses. |
Late/amended client response management described in operational features. | |
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Document Storage Stores and archives submitted instructions, supporting documents, or consents. |
All instructions and support documents archived (compliance requirement). | |
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Response Tracking Dashboard Live monitoring of response rate, missing instructions, and pending follow-up. |
Live response tracking dashboard and missing data identification available. |
Entitlements & Position Management
(10 Yes /10 Known /10 Possible features)
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Position Snapshotting Automatic capture of client holdings at record date/time for entitlement calculation. |
Position snapshotting is a key function for entitlement calculation. | |
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Multi-Level Pro-Rata Allocation Distributes proceeds based on specified rules (e.g., priority, rounding, pro-rata at multiple entity levels). |
Multi-level pro-rata, prioritization, and rounding rules supported. | |
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Multiple Account Types Handles entitlements for different account types (retail, institutional, omnibus, nominee). |
Entitlement processing for account types (retail, institutional, omnibus) supported. | |
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Cash and Stock Proceeds Processing Automated calculation of both cash and securities outcomes for all clients. |
Automated cash/stock calculations and postings described. | |
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Fractional Share Rounding Rules Configurable parameters for managing fractions (e.g., cash-in-lieu, carryforward). |
Fractional share rounding rules can be configured for clients. | |
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Residual and Adjustment Handling Ability to track, adjust, and process residual balances from corporate actions. |
Tracking/processing of residuals and adjustments included in workflows. | |
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Eligibility Verification Checks if clients/accounts are eligible for specific events or options. |
Eligibility verification for entitlements standard. | |
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Restatement Support Recomputes entitlements if official event details are restated post-processing. |
Restatements and recalculation tools supported for event updates. | |
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Audit Reports Creates detailed logs and audit reports of all entitlement calculations. |
Audit reports for entitlement and workflow actions mentioned in marketing and compliance docs. | |
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Bulk Adjustment Capabilities Easily process corrections or adjustments affecting multiple clients/accounts. |
Bulk adjustment capabilities specified in operational documentation. |
Settlement and Posting
(10 Yes /10 Known /10 Possible features)
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Automated Settlement Instructions Auto-generation of settlement entries for both cash and stock movements. |
Automated creation of settlement, payment, and security movement instructions. | |
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SWIFT/ISO Settlement Messaging Creates, sends, and consumes standardized settlement messages (e.g., MT564, ISO 20022). |
SWIFT/ISO settlement messaging (MT564, ISO 20022) described as included. | |
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Real-Time Posting Immediate posting of entitlements and movements to client and firm accounts. |
Real-time posting to client and internal ledger systems is a product headline feature. | |
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Settlement Status Tracking Monitors status of cash/securities movement and highlights unsettled items. |
Settlement status tracking and highlighting of unresolved breaks shown in product dashboards. | |
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Partial/Failed Settlement Handling Supports handling, reprocessing, and investigation of failed or partial settlements. |
Partial/failed settlement processing and exception handling described in solution workflows. | |
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Auto Reconciliation Automated reconciliation of bookings with custodians, CSDs, or sub-ledgers. |
Automated reconciliation with custodians/sub-ledgers included in standard integrations. | |
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Manual Overrides Users can manually adjust bookings or settlements with tracked authorization. |
Manual override controls and audit tracked; compliance docs support feature. | |
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Multi-Stage Settlement Workflow Configurable steps from preliminary to final settlement. |
Multi-stage settlement processes available for complex event types. | |
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Audit Trail for Settlement Changes Detailed logging of all settlement amendments or reversals. |
Audit traceability of settlement changes captured for compliance. | |
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Settlement Confirmation Notifications Sends confirmations to clients or counterparties upon completion. |
Automated notifications of completed settlements described. |
Controls & Compliance
(10 Yes /10 Known /10 Possible features)
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Four-Eyes Authorization Dual authorization required for sensitive operations (e.g., major booking amendments). |
Dual/four-eyes authorization model described for sensitive workflows. | |
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Configurable Maker-Checker Custom rules for checker review and approval for designated workflows. |
Custom maker-checker rules referenced for approval/QA processes. | |
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Regulatory Reporting Automation of required regulatory submissions (e.g., to FCA, SEC). |
Regulatory (FCA/SEC) reporting automation features exist for compliance. | |
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Compliance Rules Engine Allows rules to define exceptions, embargoed securities, or other regulatory constraints. |
Configurable compliance rules for embargo/blocked securities highlighted. | |
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Access Control & Segregation of Duties Granular role-based access management and audit for all user actions. |
Granular RBAC (role-based access control) and audit logs mentioned. | |
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Incident Logging Tracks and escalates processing exceptions, breaks, or compliance issues. |
Incident, break and exception management logging mandatory for solution. | |
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SOX/ITGC Audit Features System features facilitating Sarbanes-Oxley audits: logging, review, attestation. |
SOX, ITGC and regulatory audit features available to support attestations. | |
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Data Retention Policies Configurable rules for archival and deletion per regulatory requirements. |
Configurable data retention and deletion policies per compliance. | |
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Pre-processing Validation Checks completeness and compliance of events before processing. |
Pre-processing validation and data completeness checks are core. | |
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Error Handling & Exception Reporting Customizable handling and escalation for compliance or business rule violations. |
Customizable error handling and compliance/biz rule enforcement. |
Reporting & Analytics
(10 Yes /10 Known /10 Possible features)
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Standard Report Library Pre-built suite of reports (pending events, posted entitlements, breaks, etc.). |
Library of standard operational and compliance reports available. | |
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Custom Report Builder User-driven custom report definition with parameterized queries. |
Custom report builder tools provided for data analytics. | |
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Real-Time Metrics Dashboard Live dashboards presenting current event processing and workflow status. |
Live operational dashboard and processing metrics included. | |
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Exception Reporting Reports on all process failures, breaks, or reconciliation mismatches. |
Exception reporting and reconciliation break analytics provided. | |
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Audit Trail Exports Exports of historical activity logs and changes for regulatory review. |
Audit trail export support for regulatory review is standard feature. | |
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Automated Scheduled Reporting Configurable scheduled generation and distribution of key reports. |
Automated scheduled reporting setup and distribution included. | |
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Ad Hoc Query Tools Advanced tools for users to build and run ad hoc data queries. |
Ad-hoc query and analysis tools are available in analytics module. | |
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Export to Excel/CSV/PDF Support export of data and reports in common formats. |
Export to Excel, CSV, PDF routinely cited as baseline output options. | |
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Data Visualization Inbuilt charts, graphs, or visualizations of key trends and volume statistics. |
Data visualizations—charts and graphs—are present in new UI dashboards. | |
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Role-Based Report Access Access to reports and dashboards based on user permissions. |
Role-based access to reports and dashboards described for compliance. |
Security & Infrastructure
(9 Yes /9 Known /10 Possible features)
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Encryption In Transit & At Rest Data is encrypted both when stored and in transit between systems/users. |
Documentation cites use of encryption in transit and at rest. | |
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Single Sign-On (SSO) Integrates with enterprise identity and authentication providers. |
Supports SSO (single sign on) integration with enterprise identity providers. | |
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Multi-Factor Authentication (MFA) Supports strong user authentication mechanisms. |
MFA option available for client and administrator users. | |
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Penetration Testing Certification Subject to regular external security testing and certification. |
Penetration and external security certification referenced in datasheets. | |
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Data Masking & Redaction Sensitive data masked in user interfaces and exports where appropriate. |
Data masking, redaction features indicated for UI and report exports. | |
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Change Management Logging Tracks all configuration, patching, and upgrade activity with audit logs. |
Change management, upgrade, security configuration logs cited. | |
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Disaster Recovery Capabilities Supporting failover, backup, and recovery in case of technical outages. |
Full disaster recovery and business continuity cited as part of platform. | |
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Uptime Guarantee Service-level agreement on system uptime. |
No information available | |
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Hosting Model (Cloud/On-Premise/Hybrid) System available for deployment in various infrastructure models. |
Both cloud and on-premise/hybrid deployment models supported. | |
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Scalability Ability to scale for peak loads or volume growth. |
Scalability for multi-entity and global operations cited. |
Performance, Usability & Support
(8 Yes /8 Known /10 Possible features)
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Average Event Processing Time Typical time taken for an event from ingestion to completion. |
No information available | |
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Concurrent User Support Maximum number of active users supported simultaneously. |
No information available | |
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Intuitive User Interface Ergonomic, easy-to-navigate, modern graphical user interface. |
UI and workflow described as intuitive and modern in sales collateral. | |
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Help Desk & Vendor Support 24/7 help desk and direct vendor escalation channels. |
Help desk & vendor support described as 24/7 for global financial clients. | |
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User Documentation & Training Comprehensive user manuals, release notes, and system training provided. |
Training, release notes, user documentation routinely supplied as part of onboarding. | |
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Configurable User Profiles Users can set preferences and personalize dashboard views. |
Configurable user profiles and personalized views noted in user manual. | |
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Localization & Language Support Multi-language user interface and notifications. |
Localization and multi-language support standard, including UI and comms templates. | |
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Accessibility Compliance Meets accessibility standards (e.g., WCAG 2.1, Section 508). |
Accessibility compliance (WCAG/508) listed as product design goal. | |
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Continuous System Monitoring Automated health checks and capacity alerts. |
System monitoring and health alerts described in operational overview. | |
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Release & Upgrade Management Clear release scheduling, user notification of enhancements/fixes, and rollback capabilities. |
Release and upgrade management—roll-back, notifications, versioning—standardized. |
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