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Corporate Actions


Corporate Actions Pathway Audit™

Your questions answered.

What is the Corporate Actions Pathway Audit™?

Corporate Actions departments pose one of the highest risk factors to any financial institution. The losses obtainable have been quoted as “unlimited”. This Pathway Audit™ will help you identify the strengths and weaknesses of your present processes. The background for this audit is to get as close to “straight through processing” as feasible possible.

Why use it?

As your corporate actions team grows there will be situations that you are always playing catch-up. This Pathway Audit™ helps you stream line processes and help you recognise those areas that need attention. The way we have designed this audit is to enable you to see the pitfalls and help your team and company be less reactionary to process changes and implementation. The end goal is to enable you to take a holistic view to Corporate Actions and aim for “straight through processing”.

How do I use it?

Ideally, four or more members of operational management should complete the Corporate Actions Pathway Audit™. The managers completing the audit should be split between supervisors, line managers and higher management. This will give a broad unbiased view of the strengths and weaknesses of your present processes.

When do I use it?

The Corporate Actions Pathway Audit™ is a form of benchmark, comparing your present processes with what your department should be doing. In many ways it is a health check which identifies the strengths and the weaknesses that enable, or block, the ideal of “straight through processing”. It can be used annually or every two or three years.

Where can I find more information?

Pathway audits are available through Business Enlightenment and you can find out more by visiting Whether you are a client or a consultant, you will discover all you need to know.

Who creates the audits?

Experienced audit authors, who have both senior corporate, consultancy and financial backgrounds each with over thirty years’ experience of designing and implementing organisational development programmes. Their knowledge and experience is an invaluable resource.


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