A leading Nordic investment bank has selected Broadridge’s Corporate Actions and Income Processing (CAIP) solution as part of a broader effort to modernize operations across its global investment business.
The firm was looking to improve automation, transparency, control, and scalability across the full lifecycle of corporate actions and income events, particularly in the high-complexity area of swaps and structured products, where fragmented workflows and manual intervention were increasing operational risk and limiting efficiency.
The challenge
Like many firms operating complex product books, the bank was managing:
- Fragmented workflows across front, middle, and back office
- Disconnected tools and data sources
- Manual exception handling
- Inefficiencies in event capture, processing, posting, and reconciliation
- Limited support for swap-related corporate actions complexity
Why Broadridge was chosen
Broadridge’s CAIP solution stood out for its ability to combine automation, control, and flexibility in a scalable operating model, including:
- Proven support for complex swaps, synthetic positions, and structured products
- A Golden Record architecture that provides a single, accurate event view across the enterprise
- Automated allocation and election workflows with user override capability
- Flexible notifications and client communications via Swift, APIs, and optional digital channels
- Full claims lifecycle support
- Configurable controls, auditability, and exception management
- Open APIs and modular architecture to integrate across the broader operating environment
- Committed to meeting the client’s aggressive deployment schedule
Business impact
For senior leaders, this kind of modernization can help deliver:
- Reduced operational risk
- Greater transparency and oversight
- Increased automation in high-complexity processing
- Improved client service
- Better support for growth in complex products
- A more scalable, future-ready operating model prepared for increasing volumes and complexity
Why this matters now
Firms are increasingly re-evaluating corporate actions and income processing as a strategic operating model priority, not just a processing function. For institutions with sophisticated products and growing operational complexity, the ability to centralize workflows, improve control, and automate intelligently is becoming a key differentiator.
Broadridge CAIP helps firms modernize corporate actions processing with the scale, flexibility, and complexity management needed to support growth.