CORPORATE ACTIONS PROCESSING SOLUTION

COMPREHENSIVE & SCALABLE SOLUTION CONTROLS THE IDENTIFICATION, CLEANSING, SCHEDULING & VISUALISATION OF CORPORATE ACTIONS & AUTOMATES END-TO-END PROCESSING.

Dion’s Corporate Actions Processing Solution
Dion’s Corporate Actions (CA) processing solution empowers financial institutions to efficiently manage the lifecycle of a corporate action and improve customer services whilst mitigating the risks associated with failing to identify and or act upon corporate events.
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As businesses grow, financial institutions are under increased pressure to ensure that all corporate actions are known and correctly processed. This pressure is magnified with varying standards and interpretations and continued attention from regulators concerning all aspects of operational risk. The financial services industry has to keep pace with the shifting landscapes, new and evolving investment options and regulatory compliance obligations which requires exponentially more processing work. Taken together, these trends make it harder for investment managers and advisors to keep pace with the flow of information and their resulting action requirements.

Dion’s Corporate Actions Solution focus on the data capture, scrubbing & validation, normalization of notifications, deliver reports and give a single view of the data to investment managers and custodians to make fully-informed investment decisions. Dion’s Corporate Actions Processing solution provides comprehensive, accurate and timely information in a hosted platform or deployed within a firm. It can seamlessly integrate with other applications.

Visualisation of Dion’s Corporate Actions Solution



An instant and user-friendly view of the data via graphical charts.
Shows a range of management information about forthcoming corporate actions including; summary of events, outstanding elections with an approaching deadline, events, occurring within a specified time-frame, requires clients actions and with election deadlines approaching.
Filters show a range of detailed information, such as- A full stock breakdown, the number of holders affected by a corporate action.
Filters can be saved, and default set to ensure the system instantly displays the information users require. Drill-downs provide additional detail via a single click.
Dashboards can be configured at a firm and an individual level.

Corporate Actions Processing Solution Features

    Notification Review


  • The platform can receive corporate action notifications from single or multiple sources, in any format
  • Automatically creates master record for multiple notifications
  • Provides visibility of each of the original notifications, highlighting how they differ from the master record

    Event Diary


  • Provides user defined workflows to ensure compliance to market dates
  • Visibility of events in relation to their timeline, highlighting their progress against both internal and external date deadlines.
  • Gives automated alerts, reminders and escalations, ensuring that no tasks or actions are missed, and that all events are proactively managed through to completion.


    Notifications


  • Provides user defined workflows to ensure compliance to market dates
  • Identifies & flags all client holdings with a pending event
  • Creation & distribution of notification to clients & investment managers
  • Automates internal routing of notifications


    Elections


  • Automatically identifies the holdings and clients to which an election applies
  • Generates client’s communications, distributes via preferred channels and monitor responses against a defined workflow
  • Reports Instructions to the custodian in industry standard (Swift / ISO) or pre-defined proprietary formats



Benefits of Corporate Actions Processing Solution


Reduced risk


  • Workflow automation ensures conformity to industry best practice
  • Receipt of single or multiple, third party notifications such that no corporate event is missed, or anomalous event processed
  • Automated processes eliminate manual entry and associated errors

Reduced costs / increased efficiencies


  • Improved STP allows more to be managed with less, driving productivity up and costs down
  • Staffing resources can be redeployed to more pressing operational functions
  • Improved scalability by ensuring there is no cap to volume growth

Improved client service


  • Vital resources are freed to focus on client services
  • Provides proactive client interaction opportunities
  • Seamless integration with any application to provide a single view of client data
  • Can be integrated with a client portal for reporting / self service

Enabling growth


  • Greater process efficiency facilitates business growth and reduces incremental costs
  • Scalability and hosted deployment ensure there are no caps to future growth
  • The introduction of checks and controls allows volume blockages


For a copy of our brochure or for more insight into our solution, write to us at connect@dionglobal.com

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