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What are the Potential Breakdowns in a Corporate Action Process Flow?

Securities Operations Forum

Ricci Consulting Services
Agostino Ricci, Senior Operations Advisor

Runtime: 5:18

Agostino Ricci is a SOFORUM training instructor. For more information on his courses, click here.

Key Takeaways:

  1. The ability to collect, interrogate, validate and disseminate information is critical in corporate action processing.
  2. Potential Breakdowns: Early expiration dates; early consent periods; and issues pertaining to record dates.
  3. Gap analysis helps establish where breakdowns occur. Frequently, they happen at touch points.
  4. Use expiration tracking checkpoint lists to minimize potential corporate action processing breakdowns.

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