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FundPOINT Research
A Web-based library of current and historical mutual fund documents
- Improves efficiency with a simple, single-source research tool that enables concurrent searches by multiple users
- Eliminates compliance risk by applying patented document management process used in all NewRiver products and provides 100% coverage of your fund offering
- Eliminates the need for paper by providing swift, efficient online viewing of desired disclosure documents by relevant trade date
- Ensures competent research because information is EDGAR-accurate and Web-accessible.
Overview
The legally binding rules to ensure financial firms comply with the filings by mutual funds to the SEC are based on two primary things: the date of the trade, and the fund's rules on that date. The rules are provided in two places: the fund/product prospectus, and the statement of additional information (SAI).
Sounds simple, right? Not really. Accessing these documents has been slow and arduous. Traditionally, firms had three options:
- Go direct to each mutual fund company to hunt down the fund prospectus or SAI ... and wait.
- Log onto the SEC's EDGAR system and it's notoriously non-user friendly, inefficient search engine and get frustrated.
- Hire an intern to hunt down the documents and hope you get the right information for the right trade date.
Now, there is a better option. One that is as easy to use as Google® and as reliable as EDGAR.
FundPOINT Research Offers Compliance Certainty in an Uncertain World
NewRiver's FundPOINT® Research is a Web-based tool that enables users to quickly find, research, and analyze current and historical mutual fund documents pertinent to their fund lineup via an online library that is maintained and updated daily.
FundPOINT Research uses the same patented process technology and proprietary database used by NewRiver's Prospectus Express® - the industry's first electronic repository service for fund prospectuses, supplements, and shareholder reports currently used by many financial service leaders. Because fund documents are parsed, sorted, and indexed into fund-specific "compliance envelopes," your firm has ready access to the latest SEC filings and historical documents represented down to the share class level.
NewRiver's powerful yet simple search engine lets you search by fund CUSIP, stock ticker symbol, fund name, and/or fund family. The library is so intelligent, you can even input an old fund name or CUSIP and you will be brought to the correct electronic compliance envelope showing all document filings before and after the fund merge or renaming.
Beyond speed, efficiency, and accuracy, perhaps the biggest benefit to your firm is compliance peace of mind in an uncertain and constantly-changing regulatory climate.
Searching by fund family yields a complete list of all funds filed on the SEC's EDGAR database, enabling you to pinpoint which fund you wish to research. Summary information categorizes all related funds by CUSIP, ticker symbol, fund name, individual share class, former name, inception date, and issuing company.
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Who's It For?
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Broker/Dealers |
Adds clarity to the mutual fund rules interpretations and saves broker/dealers time in lieu of contacting each mutual fund company directly.
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Mutual Fund
Companies |
Provides total accuracy and accessibility for fund documents the fund company may no longer have, and enables the ability to easily review competitors' fund documents.
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Attorneys |
Expedites compilation of current and historical documents required to conduct research to prepare for - or circumvent - regulatory audits, arbitration, and civil lawsuits.
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| Accountants |
Saves time and effort during audits for accountants who need to correctly identify compliance rules in-force on the date of the transaction and to adjust the financial records accordingly. |
Coverage
With information sourced directly from SEC's EDGAR database, the documents are fully compliant with SEC requirements. FundPOINT Research is a complete source of mutual fund compliance information (over 600 issuers of more than 23,500 classes of funds), including:
- Fund Prospectus
- Statement of Additional Information
- Semi-Annual and Annual Reports
- Supplements and Amendments (e.g., stickers)
Key Features
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Comprehensive Compliance Research Tool |
- EDGAR-Sourced Document Database - FundPOINT Research provides direct access to NewRiver's proprietary database of all U.S. open-end mutual funds. All filings made to the SEC's EDGAR system are recorded and updated daily.
- Expansive Online Library - FundPOINT Research offers a complete electronic repository of mutual fund disclosure documents organzied from the most recent filings to filings as far back as 1/1/99.
- Compliance Peace of Mind - You're assured that all your employees - including sales, operations, and legal staff - have immediate access to information that is up to date, historically archived, and EDGAR-sourced.
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User-Friendly Features |
- Simple, Powerful Search Capability - Search funds by fund CUSIP, stock ticker symbol, fund name, or fund family.
- Comprehensive "Lookup" Tool - View 23,500 U.S. open-end mutual funds sorted by numberic and alphabetic names.
- Real-Time Access to Historical Documents - Historical documents including prospectuses, statements of additional information, supplements, and semi-annual and annual reports are readily available and easily searched. NewRiver maintains document archives from 1/1/99.
- Indexes Old and New Fund Information - FundPOINT Research also provides historical information for merged, re-organized, and liquidated funds so your employees will never miss a fund (even if the fund is no longer being offered).
- Always On - FundPOINT Research isa Web-based delivery model, ensuring your firm convenient online access 24/7.
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Easily Implemented and Expandable |
- Hassle-Free Implementation - As a Web-based solution, FundPOINT Research requires no installation, software, or technology overhead.
- User Safe and Secure - Password-protected navigation guarantees safe and efficient access to the database.
- Scalability - FundPOINT Research is a companion product that can be easily integrated with any product within NewRiver's FundPOINT Suite to maximize efficiency and better manage compliance.
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