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Brokerage Firms
Marrying investor disclosure requirements with cost efficiency demands 3-D vision.
You may not pay for the cost of producing the fund prospectus, but you do pay for shipping and postage. And if the documents delivered aren't compliant, you'll pay for that too – with possible regulator fines, bad press, and lost investor trust.
NewRiver provides a 3-“D” solution to marry compliance requirements with cost-efficiency. It’s our documents, data and delivery. Of the 64 million first-dollar prospectuses delivered to investors last year, nearly 10% of these were delivered electronically. NewRiver handled every single one of these.
Here are a few more numbers that will give you confidence:
- 100% – NewRiver provides full coverage of all SEC-filed U.S. open-end mutual funds, variable products, ETFs and UITs on your platform.
- 100% – We source and quality-check every single new fund filing ever day from EDGAR.
- 100% – Through our partnership with Broadridge, we mange ALL electronic prospectus deliveries, or roughly 8 million e-deliveries this fiscal year.
- 1 – We are the only company to back the quality of our documents and data, guaranteeing that the information is up-to-date as of the end of the prior business day.
What are the Benefits to You?
Save money on Day One with a single-source solution |
- NewRiver's electronic prospectus document delivery solution covers all the funds you offer.
- No other solution offers this combination of guaranteed compliance and cost savings of $1 to $1.50 per e-delivery transaction.
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Eliminate “pick and pack” inventory costs and “NIGO” trade do-overs |
- With NewRiver's e-delivery program, you can not only contain costs – you can also increase saving with our consent marketing program that guarantees 10% consent in year one (terms and conditions apply).
- Our FundPOINT Desktop “paperless prospectus" – powered by our industry-best FundPOINT compliance data and Share Class Analyzer tool – helps assure appropriate trading and provides point-of-sale disclosure.
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Be 100% compliant today, and ready for the Summary Prospectus tomorrow
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- NewRiver's patented process technology with dual auditor review on every new SEC filing enables us to guarantee the information we deliver is compliant.
- Our Intelligent Delivery Services provides print on demand capabilities which will let you combine the streamlined summary prospectus with trade confirms into a single mailing.
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