公司行为：安全事件管理指南CORPORATE ACTIONS - A GUIDE TO SECURITIES EVENT MANAGEMENT pdf mobi txt word epub 下载 2024

Corporate actions are events that affect large corporations through to the individual investor - even those that own a single-share! All organizations that hold equity and debt securities for themselves and/or on behalf of others are affected when the issuer of a security announces an income or corporate action event. The successful management of the array of different event types requires understanding of the inherent risks, and tight controls at critical points in the event lifecycle. The management of income and corporate action events are important and essential parts of the securities industry business. Written by authors with many years experience within this sector, Corporate Actions: A Guide to Securities Event Management sets out to demystify the subject and provides a thorough, step-by-step introduction to corporate actions and income events.

Corporate Actions is a comprehensive source for understanding a major component of operational processing. The individual components and their relation to each other within the corporate actions lifecycle are explained in detail, through which the reader will gain a clear and thorough understanding of the lifecycle together with potential processing risks and the strategies to mitigate

Corporate Actions is essential reading for all those involved in the securities industry, from new recruits to those involved in both the day-to-day operations process and those within executive management. It will also prove invaluable to those providing consultancy and software solutions to the securities industry.

Corporate Actions is the first major work on this subject. Many people within the securities industry have heard of corporate actions - many people know they can be highly risky - many organizations have lost vast sums of cash in attempting to process them - very few understand them!

Introduction

About the Authors

PART I INTRODUCTORY ELEMENTS

1 Basic Corporate Action Concepts

2 Event Description and Classification

3 The Securities (and Corporate Actions) Market Place

4 Static Data

5 Securities Position Management

PART II MANDATORY EVENTS

6 Overview of the Generic Corporate Action Lifecycle

7 Straight Through Processing

8 Event Terms Capture and Cleansing

9 Determining Entitlement

10 Communication of Event Information

11 Calculation of Resultant Entitlements

12 Passing of Internal Entries

13 Collection/Disbursement of Resultant Entitlements

14 Updating of Internal Entries

15 Examples of Mandatory Events

PART III EVENTS WITH ELECTIONS

16 Concepts of Events with Elections

17 Management of Mandatory with Options Events

18 Management of Voluntary Events

PART IV MULTI-STAGE EVENTS

19 Concepts of Multi-Stage Events

20 Management of a Rights Issue

21 Example of a Rights Issue

22 Concepts of Takeover Events

23 Management of Takeover Events

PARTV TAXATION

24 Concepts and Management of Taxation

25 Management of Income Tax

PART VI ISSUER NOTICES

26 Concepts and Management of Issuer Notices

PART VII OBJECTIVES AND INITIATIVES

27 Objectives and Initiatives

Glossary of Terms

Index

MICHAEL SIMMONS has spent the majority of his working life within the operational areas of international investment banks, most notably within the S.G. Warburg group in London. Having gained a detailed understanding of various back office tasks through ma

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书籍介绍

Corporate actions are events that affect large corporations through to the individual investor - even those that own a single share! All organizations that hold equity and debt securities for themselves and/or on behalf of others are affected when the issuer of a security announces an income or corporate action event. The successful management of the array of different event types requires understanding of the inherent risks, and tight controls at critical points in the event lifecycle. The management of income and corporate action events are important and essential parts of the securities industry business. Written by authors with many years experience within this sector, "Corporate Actions: A Guide to Securities Event Management" sets out to demystify the subject and provides a thorough, step-by-step introduction to corporate actions and income events. "Corporate Actions is a comprehensive source for understanding a major component of operational processing. The individual components and their relation to each other within the corporate actions lifecycle are explained in detail, through which the reader will gain a clear and thorough understanding of the lifecycle together with potential processing risks and the strategies to mitigate. "Corporate Actions" is essential reading for all those involved in the securities industry, from new recruits to those involved in both the day-to-day operations process and those within executive management. It will also prove invaluable to those providing consultancy and software solutions to the securities industry. "Corporate Actions" is the first major work on this subject. Many people within the securities industry have heard of corporate actions - many people know they can be highly risky - many organizations have lost vast sums of cash in attempting to process them - very few understand them!