Corporate Actions
| Date: | January 2008 |
| Author: | John Robertshaw |
This research focuses on the roles and organisational structure of operational risk and compliance within investment management firms. Additionally it focuses on how compliance and risk can act as business enablers. It looks at the IT system providers that can support these functions and also how firms, regulators and industry bodies are adopting a more principle-based regulatory environment.
Table of contents
| Management Summary | 3 | |||
| 1.0 | Introduction | 5 | ||
| 1.1 | Paper structure | 7 | ||
| 1.2 | Methodology | 8 | ||
| 1.3 | Scope of the research paper | 9 | ||
| 1.4 | Glossary of terms | 10 | ||
| 2.0 | The Profile and Governance of Corporate Actions | 11 | ||
| 2.1 | Corporate actions - industry awareness | 12 | ||
| 2.2 | Corporate actions - investment manager awareness | 15 | ||
| 2.3 | Corporate actions - investment managers' priorities for improvement | 19 | ||
| 3.0 | Corporate Actions in Investment Management Firms | 21 | ||
| 3.1 | Participants in securities industry corporate actions processing | 22 | ||
| 3.2 | Categories of corporate actions | 24 | ||
| 3.3 | Corporate actions processes | 26 | ||
| 3.4 | Current practice in corporate actions processing | 28 | ||
| 3.5 | Principles for improvement | 34 | ||
| 3.6 | How much automation do firms currently have | 36 | ||
| 4.0 | It's Getting Harder Out There | 37 | ||
| 4.1 | Complex corporate actions | 38 | ||
| 4.2 | Complex corporate actions - examples | 39 | ||
| 4.3 | Class actions | 41 | ||
| 4.4 | Derivatives | 42 | ||
| 5.0 | Technology Explored | 43 | ||
| 5.1 | Data | 44 | ||
| 5.2 | Messaging | 48 | ||
| 5.3 | Vendor solutions | 52 | ||
| 5.4 | Project experience | 54 | ||
| 5.5 | Technology summary | 55 | ||
| 6.0 | Developing the Business Case - No Longer the Bridesmaid? | 57 | ||
| 6.1 | Building the business case | 58 | ||
| 6.2 | Where to find the benefits | 60 | ||
| 6.3 | Is the time right for development? | 62 | ||
| 7.0 | Conclusions | 63 | ||
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