Process corporate actions on behalf of investors

Overview & Purpose

What This Standard Covers

This NOS focuses on processing corporate actions on behalf of investors, including monitoring, assessing impacts on holdings, and ensuring investors receive timely information. It emphasizes the effective, efficient, and ethical use of information while paying attention to critical details.

Performance Criteria

• Identify and investigate corporate actions using relevant market information.
• Assess the impact of corporate actions on holdings and values.
• Provide clear information to investors about corporate actions within set timescales.
• Monitor the progress of corporate actions and update investors as needed.
• Seek and arrange investor instructions based on provided information.
• Ensure compliance with regulations and report any non-compliance.
• Adhere to legal requirements, industry regulations, and organizational policies.

Knowledge & Understanding Requirements

• The regulatory framework governing corporate actions and its impact on work roles.
• Structure of the investment market and the roles of various organizations in processing corporate actions.
• Types of corporate actions and their effects on investor assets.
• Organizational procedures for processing investor instructions, including authorization and authentication.
• Personal responsibility and authority in dealings with investors and partners.
• Establishing effective stakeholder relationships through communication and service delivery.
• Application of legal, ethical, and safety standards in activities.

Relevent Roles

• Investment Operations Specialist
• Investment Administrator
• Corporate Actions Analyst
• Compliance Officer in Investment Firms
• Financial Services Professional