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Retirement Plans
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, NewRiver provides a seamless solution to help you provide them with compliant, 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 NewRiver delivers this powerful combination to help you drive revenues, retain clients, and keep your competitive edge.
What are the Benefits to You?
Meet 404(c ) fiduciary obligations |
- NewRiver's Intelligent Delivery Services sources mutual fund, ETF, and UIT documents daily from EDGAR.
- We are the only firm to back our document delivery with a “compliance-grade” guarantee ensuring documents are compliant as of the end of the prior business day.
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A single source for e-delivery and private document hosting |
- In 1998 NewRiver created the industry's first electronic prospectus and today we are the undisputed industry leader with 8 million e-deliveries this year.
- We “plug into” your current infrastructure with no significant client IT development or expense.
- Should the DOL adopt a Summary Prospectus mirroring the SEC's proposed rule, our single platform for print-on-demand and electronic delivery will be fully adaptive.
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Improved transaction quality, customer service, and revenue sharing
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- FundPOINT Retirement Focus Data provides the latest EDGAR-sourced investor disclosure to ensure transaction quality and meet current 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.
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