FundPOINT® Desktop

FundPOINT® Desktop

A Paper-free Approach to Prospectus Disclosure.

FundPOINT® Desktop is a web-based solution that helps brokerage employees do their jobs efficiently by delivering timely, accurate mutual fund data and a dynamic Share Class Analyzer tool at the point of sale (POS).

By delivering information through a familiar web interface, FundPOINT Desktop eliminates the need to shuffle through possibly out-of-date paper prospectuses for the information. Instead, a few mouse clicks enables advisors to instantly retrieve the latest EDGAR-sourced disclosure information, such as commission structure, account minimums, Rights of Accumulation (ROA) and Letter of Intent (LOI) rules, market timing rules, commission waivers, and more.

FundPOINT Desktop provides ready access to all U.S. open-end mutual funds through a web interface that is updated daily, representing the latest fund filings on the SEC’s EDGAR database.

 Advisor Considers/Calculates  FINRA 02-85 Requirement  FundPOINT Desktop Support
Pending transaction amount    
Investment horizon    
Anticipated investments    
ROA (Rights of Accumulation)
  • Previous purchases
  • Family account linking
  • Balances in other fund company products
   
Commission waivers, including reinstatements    
LOI (Letter of Intent)    
Assets held away from advisor firm    

Share Class Analyzer Tool

The FundPOINT Desktop Share Class Analyzer tool helps advisors select the appropriate class of shares for mutual fund sales by providing assistance based on investor-specified investment parameters, fund limits, expense structures, Rights of Accumulation (ROA) and Letter of Intent (LOI) rules, and potential waivers. Because every investor and each fund is different, Broadridge designed Share Class Analyzer to help ensure an investor's time horizon and goals are matched with various fund options to help identify which share class best meets their needs. Part of this functionality includes an industry-only capability to include systematic withdrawals into the calculation for more accurate results.

Once the sale is complete, Share Class Analyzer provides a comprehensive document of what funds were offered and ultimately selected. Advisors can even generate a POS disclosure form that is designed to meet the requirements of the SEC's proposed Rule 15c2-3. Documentation supports the firm's branding, collects the signature by an investor for "print and sign" records, and is both print- and email-ready for internal archiving or trade surveillance purposes.

Coverage

  • All U.S. open-end mutual funds and their related share classes including 529 plans

Benefits

  • Search all open-end US mutual funds and share classes
  • Review EDGAR-sourced mutual fund rules and data
  • Access current pricing and performance information
  • View, print and send documents from the desktop – including the summary prospectus
  • Perform share class analysis for “suitability” requirements
  • Record a POS disclosure form in print or electronic


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