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FundPOINT Monitor
Mutual fund tracking and alerts
- Monitor the SEC's EDGAR system to better understand and communicate new securities information
- Track all U.S. open-end mutual funds, as well as equities and variable products with mutual fund sub accounts
- Automatically send compliance alerts to customers and intermediaries via branded email
- Get competitor insight by tracking new SEC filings for competitor funds, as well as changes to your own fundlineup
Overview
Nearly 3% of funds sold in the U.S. file a new document with the SEC every day. On the busiest days, over 20% of funds submit a new filing. These documents provide a wealth of opportunity to the firm that manages the information well. Imagine if you were privy to up-to-date information such as:
- Important updates to be shared with investors, including retirement plan partcipants and variable annuity contract holders;
- Policies of your funds that may have changed within the most recent business day – such as new portfolio managers or the percentage being charged for redemption fees;
- Timely updates about changes in commission structures and mutual fund "finder's fees" to promote sales growth; and
- Rapid notification of changes to competitors' mutual fund policies that you choose to monitor on a proactive "watch list."
Knowledge IS empowering. With the right tool, you could enhance customer service, improve productivity, and stay ahead of the competition. The challenge is finding a convenient, low-cost, simple way to automatically alert you about new document filings – with the added flexibility to quickly categorize and research this information, and forward relevant information to your customers.
Fortunately, Broadridge is up to the challenge.
FundPOINT Monitor: As Easy and Convenient as Opening Your Email
FundPOINT Monitor is a web-based email alert and information tool that notifies you of changes affecting the funds and stocks that you want to monitor. Using patented process technology, FundPOINT Monitor gives you a window from your desktop to the latest filings on the SEC's EDGAR system for any or all U.S. open-end mutual funds (load and no-load shares), as well as publicly traded stocks. A user-friendly interface makes it easy to see information in a variety of "calendar views" and to distribute appropriate information via branded emails to your customers and distribution network.
click image to enlarge
FundPOINT Monitor offers a choice of convenient calendar "views"
to monitor compliance activity for daily alerts: current day,
current week, or for current or prior months.
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Who's It For?
- Retirement Plan Providers – Allows providers to be notified of changes in the various funds or company stock they offer, and to optionally push this information through to their plan sponsors.
- Mutual Fund Companies – Allows companies to systematically and efficiently deliver daily changing SEC fund filings and supplement updates to their intermediaries with little administrative effort. Also, monitor competitor filings to glean new information about product design and features.
- Insurance Companies Offering Variable Products – Provides notification of new filings within a variable product lineup and, when combined with Broadridge's Intelligent Delivery Services® (e.g., portfolio-specific printing and e-delivery), enables proactive and cost-efficient disclosure document delivery.
Coverage
FundPOINT Monitor covers 24,000 U.S. open-end mutual funds (load and no-load shares), U.S. equities, and variable products with underlying mutual fund sub-accounts. Information is updated daily from EDGAR as new documents are filed with the SEC.
Key Features
Standard Features
- Custom Securities Tracking – Select the funds and stocks to track through an automated "watch list" that's easy to update and is always up to date.
- Daily Emailed Alerts – FundPOINT Monitor delivers an email notifying you when new filings have been submitted to the SEC. Broadridge's patented process technology tracks securities daily.
- Research Affected Securities – One SEC filing can impact hundreds of funds. With FundPOINT Monitor, you can see how many funds were affected and get a list showing each fund's name.
- View Current and Historical Documents – You can log on to FundPOINT Monitor and view the documents that were filed on the current day or during the prior 12 months by searching by CUSIP, security name, or fund family name.
- Fund Family Rollups – FundPOINT Monitor shows information at the fund family level (and within a fund family) to individual funds and fund classes. You can easily see major changes for the fund families you are interested in, and quickly drill down to the underlying share classes which may be affected.
- Convenient Calendar View – You can see summary information by choosing a calendar view that shows SEC filings for the current day, current week, or for current and prior months.
- Supplement Categorization – Broadridge categorizes prospectus supplement filings by key standard descriptions (e.g., "fund manager change") to help you quickly determine if you need to pass along this information to your customers.
Optional Features
- Push-Through Capability – If appropriate, you can automatically "push through" email alerts directly to your customers by setting up this capability with Broadridge. For example, retirement plan providers can transparently – and simultaneously – forward alerts to their plan providers if a filing is submitted for a fund that the plan provider offers in its retirement plan.
- Co-Branded Emails – You can brand email alerts that are "pushed through" to your customers so it looks like the email comes directly from your organization, rather than from Broadridge.
- Supports All Document Types – Beyond supplement alerts, FundPOINT Monitor can provide access to all relevant document types:
- Mutual Funds:
- Prospectuses
- Supplements
- Semi-Annual and Annual Reports
- Statements of Additional Information
- Stocks:
- Quarterly and Annual Reports
- Proxy Statements
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