ABC receives Corporate Action (CA) Notification
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Voluntary Work Flow PowerPoint PPT Presentation


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ABC receives Corporate Action (CA) Notification. ABC retrieves voluntary information via intranet portal. ABC Creates Service Request (SR) and attaches VCA info. ABC creates activity and assigns to Portfolio Mgr. Portfolio Mgr Receives Activity Notice.

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Voluntary Work Flow

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Voluntary work flow

ABC receives Corporate Action (CA) Notification

ABC retrieves voluntary information via intranet portal.

ABC Creates Service Request (SR) and attaches VCA info.

ABC creates activity and assigns to Portfolio Mgr

Portfolio Mgr Receives Activity Notice

Portfolio Mgr navigates to SR via activity.

Portfolio Mgr Updates VCA Response template

ABC locates all ‘pending’ Service Requests

Portfolio Mgr Changes Activity Status to ‘Done’

ABC updates ACRM and changes SR Status to ‘Closed’.

Portfolio Mgr Changes SR status to ‘Pending’

Voluntary Work Flow

  • Open Questions About Current Work/Data Flow

  • Do all Corporation Action Notifications come from ABC Operations?

  • What is the difference between a voluntary and mandatory action?

  • Is there any relationship between a mandatory and a voluntary action?

  • Are mandatory Corporate Actions created after a portfolio manager has completed work?

Acct Num = 0199ABC0009

Sub-Type = Voluntary

Commit Time 24 hrs. prior to CA expiration date

Assigned to Portfolio Manager


Voluntary work flow

Mandatory Work Flow

ABC Creates SR

ABC creates activity and assigns to Senior Investment Officer

Senior Investment Officer Changes SR status to ‘Closed’.

Acct Num = 0199ABC0009

Sub-Type = Mandatory

Assigned to Senior Investment Officer

If ABC Associate has already updated ACRM, Portfolio Manager must email changes to ABC Operations.

Why would this happen? Does this affect the SR Closed Date?

What other steps are missing?


Voluntary work flow

[Acct Num = 0199ABC0009]

Sub-Type = Voluntary

Status = ‘Open’

Created Date is ‘Begin Date’

[Closed Date is null.]

[Acct Num = 0199ABC0009]

Sub-Type = Mandatory

Status = ‘Closed’

[Created Date is ‘Begin Date’]

[Closed Date is not null.]

Acct Num = 0199ABC0009

Sub-Type = Voluntary

Status = ‘Pending’

[Created Date is ‘Begin Date’]

Closed Date is null.

[Acct Num = 0199ABC0009]

Sub-Type = Voluntary

Status = ‘Closed’

[Created Date is ‘Begin Date’]

[Closed Date is not null.]

Voluntary Work Flow

Mandatory Work Flow

ABC creates Corporate Action Service Request

ABC creates Corporate Action Service Request

For each month-year, count the number of Service Requests that are open and have a create date in the month-year.

Why aren’t there any ‘open mandatory’ service requests?

For each month-year, count the number of Service Requests that are pending and have a create date in the month-year.

For each month-year, count the number of Service Requests that are closed and have a Closed Date in the month-year.


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