FundPOINT Data

Data sourced from SEC filings

• Covers all 24,000+ U.S. open-end funds (i.e., load and no-load)
• Receives daily EDGAR updates to ensure data is up to date.
• 349 data points (including specialty data packages for market timing rules, 529 plans, and retirement services
• Feeds directly into back-office transaction processing and internal systems

• Overview
• Who's It For?
• Coverage
• Key Features

Overview

FundPOINT® Data - the only data solution to source mutual fund data from SEC filings on EDGAR - offers 349 individual data elements including:

• Sales loads and Net Asset Value (NAV) waivers
• Share class maximums and investment minimums
• 22c-2 frequent trading (e.g., market timing) rules, fees, and waivers
• Family and account linking rules
• Fund fees and expenses
• Rights of Accumulation options
• Letter of Intent options
• Share class eligibility rules
• Fund management and governance

• Master Security Data (MSD) – Clients need an up-to-date, reliable source of mutual fund data to minimize issues related to NIGO trades, SEC, FINRA, and MSRB rules and exams. When the data is clean, the manual efforts to review and correct errors are eliminated.
• Fee Management and Disclosure – Complex reimbursement structures across multiple fund families require close attention to appropriate fee and expense data points when making trades across multiple proprietary platforms. Fee disclosure and tracking is at the top of the regulators' agenda and is a key area for compliance teams to focus on in the coming months.
• Share Class Suitability – Financial advisors are paid for selling funds, not finding the right share class. Having the right data will enable them to avoid time- consuming research and potential embarrassment during examinations.
• Point-of-Sale Disclosure – To record all share class decisions and help assure appropriate considerations were properly communicated, brokers and back-office personnel need a paper trail to justify decisions made at the point of sale. Fees, ROA and LOI rules, and breakpoints must be presented to investors, and captured for potential auditing purposes.
• Fund Research – Call centers and back office personnel need research tools, but many available products are expensive and full of extraneous information and functionality that is not helpful to compliance and operations personnel.

FundPOINT Data is operations-ready to feed into a variety of back-office transaction processing and internal systems. And FundPOINT Data is "price flexible" to help clients ensure best practice compliance while meeting budgetary needs.

Who's It For?

• Brokerage Firms – Delivers timely and reliable mutual fund data, including the latest disclosure information and market timing rules, for all U.S. open-end funds that a brokerage firm offers.
• Retirement Plan Providers – Provides comprehensive mutual fund information including share class eligibility, fee information and redemption fee waivers, CDSC waivers and more to help retirement plan providers add value to their downstream customers.
• Service Providers – Allows intermediaries, record keepers, and trust organizations to provide accurate fund information to their many clients to help in trade verification and to monitor fee specifics for mutual fund transaction processing.
• Insurance Companies with an Advisor Network – Provides easy access to the latest mutual fund and market timing rules for the funds an insurance company's advisor network sells, helping to meet compliance requirement and shorten the sales cycle.

• All U.S. open-end mutual funds

Key Features

EDGAR-Sourced Data Feed

• Timely and Accurate Data – Powered by Broadridge's patented process technology, FundPOINT Data is the only data feed solution that accurately reflects the prior business day's SEC filings on EDGAR.
• Full Coverage of U.S. Funds – With over 24,000 fund CUSIPs, including all load and no-load share classes, FundPOINT Data provides total coverage of the funds offered by brokerage firms, retirement plan providers, service providers, or insurance companies with advisor networks.

• Choice of Bundled Data Packages – Broadridge provides a tiered set of mutual fund data packages suited to a variety of client budget and specific data needs.
• Choice of Specialty Data Packages – Broadridge also provides a choice of targeted "industry-best" data packages focusing on market timing rules (Rule 22c-2 compliance), 529 Plans, and retirement.
• Flexible Pricing – Pricing is available based on a variety of pre-determined data packages or on a per-CUSIP basis for broader or more custom data needs.

• Operations Ready – FundPOINT Data is organized into a standard set of common definitions that easily integrates with nearly any client information system.
• Flexible File Formats – For systems providers requiring a proprietary file format, NewRiver custom translates FundPOINTData files to match any target specification.
• Quality Customer Service – After implementation, Broadridge provides technical support and assistance to ensure ongoing, responsive customer service.

• Scalable Solution – With complete fund coverage, FundPOINT Data easily integrates new proprietary and third-party funds when a firm expands their fund lineup.
• Add-On Analytical Tools – FundPOINT Desktop accelerates data assimilation via Audit Anchors, linking key data elements to their exact point of origin in the current fund filings.