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Brokerage Firms
Best practice compliance solutions for broker-dealers, RIAs, and insurance companies with an advisor network
NewRiver offers brokerage firms:
Compliance Data Solutions
NewRiver compliance-data solutions enable brokerage firms to:
- Make more efficient and compliant mutual fund sales
- Provide real-time auditability
- Ensure appropriate trading
- Provide total fund coverage
- Make mutual fund disclosure more flexible and efficient
NewRiver FundPOINT Desktop, a Web-based point of sale tool is a paperless compliance approach that accelerates sales, ensures accuracy, and mitigates regulatory risk. A proven technology, FundPOINT Desktop has been market tested to meet NASD requirements with leading brokerage firms. Its Share Class AnalyzerSM tool offers the industry's first comprehensive calculator to help determine the appropriate mutual fund share class based on investor-driven scenarios.
NewRiver FundPOINT Data is the industry's only single-source data feed with built-in daily updates of SEC filings on EDGAR. It has a variety of data packages - including newly released Market Timing Data and 529 Data packages - to meet diverse client needs and budgets. NewRiver covers all U.S. open-end mutual funds and offers a comprehensive data set that includes Rights of Accumulation, Letters of Intent, family linking rules, and commission waivers, etc.
In addition, FundPOINT Monitor provides a timely, accurate compliance information tool synched to any client's fund lineup, and FundPOINT Research provides access to a complete Web library of current and historical mutual fund documents.
Electronic Document Solutions
NewRiver electronic document fulfillment solutions enable brokerage firms to:
- Remain competitive with cost-effective prospectus delivery
- Broaden investment vehicle coverage with 100% fund coverage
- Provide Web access to all disclosure documents throughout the investor life cycle: pre-sale, point of sale, and post-sale
Prospectus Express helps brokerage firms stay compliant, reduce costs, and strengthen investor satisfaction with accurate, electronic disclosure documents. Brokerage firms use Prospectus Express to offer investors online viewing of the most current prospectus while significantly reducing document fulfillment costs and delivery time with low-cost electronic delivery and consent management services.
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