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000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 000|Example 107|Foreign exchange 102|Pre-trade/trading 149|Front office servicing 152|Mid/back office scope 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk & fees 104|Corporate actions 105|Income 106|Tax 109|Proxy voting/Class actions 154|Proxy voting 155|Class actions 112|Master custody 110|Sec lending/cash financing 131|Collateral/liquidity management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery

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Mandatory events

The processing of mandatory events (eg. bonus issues), being those where no decision is required on the part of the client or its investment managers.


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Voluntary events

The processing of voluntary events (eg. rights issues, takeovers), being those where a decision is required on the part of the client or its investment managers. This can be very demanding and must be tightly managed. Errors and omissions can lead to significant losses, so reliability and accuracy are crucial.


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Multiple data sources

Additional independent, reliable and comprehensive sources of information (in the form of multiple third party securities data vendors) are used by the service provider. Data from all sources is matched to validate the core information. Exceptions are investigated and resolved promptly.


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Classification of events

The service provider classifies event data to distinguish between 'straightforward' (where there is no doubt as to the consequences for all asset owners) and 'ambiguous' (where there is need for interpretation or further information to understand the consequences). This provides for complete confidence over the large majority of the validated data and highlights all events requiring further investigation.


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Proactive investigation

For all events requiring further investigation, the service provider works with the corresponding sub-custodian to obtain clarification of the event with the issuing company at the earliest opportunity.


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Proactive stance with issuers

The service provider, working with each sub-custodian, takes a proactive stance to press all issuers to take responsibility for clear communication of the corporate actions information they disseminate and the communiation channels used.


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Automated processing

The process of matching validated events data to a client's holdings and tracking each event through to receipt and settlement is automated, with manual effort focused on resolving exceptions.


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Pre-matching of entitlements

The process includes pre-matching of client entitlements (whether or not this is standard market practice) with exceptions pursued vigorously as settlement date approaches.


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Online announcements

Clients are provided with electronic access (via dedicated line, the Internet or otherwise) to corporate action announcements.


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Online instructions

Clients can notify the service provider of their decisions electronically (via dedicated line, the Internet or otherwise).


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Contractual corporate actions

This is a cash management tool: cash components (for some or all categories of corporate action with a cash component) are applied to the client's cash account on the due date for settlement, in place of when the securities component actually settles. This can greatly assist clients in managing available funds.


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Proactive market claims

The late receipt of entitlements may give rise to financial penalties or indirect costs (such as the loss of interest on funds). Many markets have an established mechanism for making a claim (a 'market claim') so that the owner receives compensation for some of the associated costs. The service provider makes these market claims and actively pursues unpaid claims.


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Dedicated service contact

Clients have a named individual to contact on matters concerning corporate actions.


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Other feedback

Year-on-year performance, improvements needed...
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