FundPOINT® Monitor

FundPOINT® Monitor

Mutual Fund Tracking and Alerts.

Over 3% of funds sold in the U.S. file a new document with the SEC every day. On the busiest days, 25% of funds submit a new filing. These documents provide a wealth of opportunity to the firm that manages the information well.

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 E-mail

FundPOINT® Monitor is a web-based e-mail 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 database for any or all U.S. open-end mutual funds (load and no-load shares), as well as publicly traded company stocks. A user-friendly interface makes it easy to see information in a variety of "calendar views" and to distribute appropriate information via branded e-mails to your customers and distribution network.

Coverage

FundPOINT Monitor covers over 24,000 U.S. open-end mutual funds (load and no-load shares), U.S. equities, and variable products with underlying mutual fund subaccounts. Information is updated daily from the SEC’s EDGAR database as new documents are filed.

Benefits

  • Monitor the SEC's EDGAR database 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 subaccounts
  • Automatically send compliance alerts to customers and intermediaries via branded e-mail
  • Get competitor insight by tracking new SEC filings for competitor funds, as well as changes to your own fund lineup

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 E-mailed Alerts – FundPOINT Monitor delivers an e-mail notifying you when new filings have been filed with 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" e-mail 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 E-mails – You can brand email alerts that are "pushed through" to your customers so it looks like the e-mail 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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