FundPOINT Desktop

Mutual fund sales and compliance

• Improves advisor productivity with web access to mutual fund prospectus-based data
• Determines recommended share class automatically based on an investor's needs
• Deploys easily with no software installation and minimal training
• Offers an end-to-end solution for 529 transactions

• Overview
• Share Class Analyzer Tool
• Who's It For?
• Coverage
• Key Features

Overview

FundPOINT® Desktop is a web-based solution that helps brokerage employees do their jobs efficiently by delivering timely, accurate mutual fund data and a dynamic Share Class Analyzer^sm tool at the point of sale (POS).

By delivering information through a familiar Web interface, FundPOINT Desktop eliminates the need to shuffle through possibly out-of-date paper prospectuses for the information. Instead, a few mouse clicks enables advisors to instantly retrieve the latest EDGAR-sourced disclosure information, such as commission structure, account minimums, Rights of Accumulation (ROA) and Letter of Intent (LOI) rules, market timing rules, commission waivers, and more.

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FundPOINT Desktop provides ready access to all U.S. open-end mutual funds through a web interface that is updated daily, representing the latest SEC filings on EDGAR.

Advisor Considers/Calculates	FINRA 02-85 Requirement	FundPOINT Desktop Support
Pending transaction amount
Investment horizon
Anticipated investments
ROA (Rights of Accumulation)
- Previous purchases
- Family account linking
- Balances in other fund company products
Commission waivers, including reinstatements
LOI (Letter of Intent)
Assets held away from advisor firm

Share Class Analyzer Tool

The FundPOINT Desktop Share Class Analyzer tool helps advisors select the appropriate class of shares for mutual fund sales by providing assistance based on investor-specified investment parameters, fund limits, expense structures, Rights of Accumulation (ROA) and Letter of Intent (LOI) rules, and potential waivers. Because every investor and each fund is different, Broadridge designed Share Class Analyzer to help ensure an investor's time horizon and goals are matched with various fund options to help identify which share class best meets their needs. Part of this functionality includes an industry-only capability to include systematic withdrawals into the calculation for more accurate results.

Once the sale is complete, Share Class Analyzer provides a comprehensive document of what funds were offered and ultimately selected. Advisors can even generate a POS disclosure form that is designed to meet the requirements of the SEC's proposed Rule 15c2-3. Documentation supports the firm's branding, collects the signature by an investor for "print and sign" records, and is both print- and email-ready for internal archiving or trade surveillance purposes.

Who's It For?

FundPOINT Desktop is for professionals who sell or service mutual funds including:

• Registered representatives
• Broker assistants
• Call center staff
• Sales desk agents
• Operations staff
• Compliance staff

Coverage

• All U.S. open-end mutual funds and their related share classes including 529 plans

Key Features

Timely, Accurate Data

• Daily Updated, EDGAR-Sourced – Broadridge's proprietary fund-specific data is updated daily and sourced directly from related mutual fund filings made with the SEC.
• Designed to Meet Point-of-Sale Requirements – FundPOINT Desktop is market-tested to meet stringent FINRA criteria for appropriate mutual fund disclosure and related sales practices.
• Ongoing Regulatory Management – Broadridge monitors and anticipates regulatory developments such as the summary prospectus and proposed Point of Sale and DOL fee disclosure rules.

• Total Coverage of U.S. Funds – With over 24,600 unique fund CUSIPs at the share class level, including all load and no-load funds, FundPOINT Desktop provides total coverage of the funds a firm sells and services.
• Scalable Solution – With its total coverage, FundPOINT Desktop easily integrates new proprietary and third-party funds as a firm's fund lineup grows.

• Real-Time Auditability – Broadridge's Audit Anchors^sm technology creates dynamic links to the exact data point on the document stored on EDGAR, enabling transparency and information accuracy.
• Share Class Analyzer Tool – Broadridge's desktop POS tool is designed to help determine the most appropriate share class for individual investors and features and industry-only capability to factor systematic withdrawals into every analysis.
• POS (Point-of-Sale) Documentation – The Share Class Analyzer tool documents the sale for auditability and generates a POS disclosure form, in print or electronic format, that is designed to meet the requirements of the SEC's proposed Rule 15c2-3.
• Market Timing Rules – FundPOINT Desktop now includes fund-specific market timing rules that help define inappropriate trading frequency and thresholds triggering redemption fees and redemption fee waivers.

Pricing and Performance

• Timely and Comprehensive – Robust pricing and performance data with charts, updated nightly.

• Plug and Play – A web-based, turnkey solution, FundPOINT Desktop requires no software and minimal training or IT support to go live.
• Market-Tested Results – FundPOINT Desktop has been tested, selected and implemented by the industry's largest and most sophisticated brokerage firms.
• Quality Customer Service – After implementation, Broadridge's provides technical support and assistance to ensure ongoing, responsive customer service.