NewRiver
HOME   |   CONTACT US   |   WRP CLIENT LOGIN
Broadridge Services

Retirement Plan Providers and Recordkeepers

Gain a competitive advantage by helping retirement client meet fiduciary obligations.

Market volatility may cause skittish investors to move in and out of funds – potentially costing you money by delivering fund prospectuses with each new "first-dollar" transaction.

Whether your customers have compliance mandates or desire 404(c) "safe harbor" compliance, Broadridge provides a seamless solution to help you provide them with industry-leading compliant and cost-effective investor disclosure – both in print or on the web.

Our document solution is industry-best because we're the only firm to monitor and quality check every new filing placed on EDGAR – the industry's "first use" prospectus and compliance document repository. And we offer the industry's most comprehensive and accurate retirement data package to help you improve transaction quality and add more value and insight to your downstream customers.

Reduced cost, better compliance, and improved customer service. Only Broadridge delivers this powerful combination to help you drive revenues, retain clients, and keep your competitive edge.

What are the Benefits to You?

  • Broadridge's Intelligent Delivery Services sources mutual fund, ETF, and UIT documents daily from EDGAR.
  • Broadridge created the industry's first electronic prospectus and today we are the undisputed industry leader with over 15 million e-deliveries this year.
  • We "plug into" your current infrastructure with no significant client IT development or expense.
  • When the DOL adopts a Summary Prospectus mirroring the SEC's proposed rule, our single platform for print-on-demand and electronic delivery will be fully adaptive.
  • FundPOINT Retirement Focus Data provides the latest EDGAR-sourced investor disclosure to help ensure transaction quality and meet current Rule 22c-2 compliance requirements as well as the DOL's proposed 401(k) Fee Disclosure Rule.
  • Enhance revenue sharing opportunities by extracting daily the most up to date finder's fees, 12b-1 amounts, and dealer concessions for every share class of every fund.