FundPOINT® Data

FundPOINT® Data

The Most Accurate and Timely Data Solution Available.

Why cobble together data from several third-party sources or expend significant time, money and resources to “self manufacture” your data when you can get timely, reliable information that’s delivered on a single, comprehensive feed and updated daily?

FundPOINT® Data − the only data solution to source mutual fund data from SEC filings on EDGAR − offers 349 individual data elements including:

  • Sales loads and Net Asset Value (NAV) waivers
  • Share class maximums and investment minimums
  • Rule 22c-2 frequent trading (e.g., market timing) rules, fees, and waivers
  • Family and account linking rules
  • Fund fees and expenses
  • Rights of Accumulation options
  • Letter of Intent options
  • Share class eligibility rules
  • Fund management and governance

Broadridge has well-established automatic systems and processes that source every U.S. open-ended mutual fund in the EDGAR database and that perform updates daily. As a result, FundPOINT Data is consistent with the most current data in the most recent filings stored on EDGAR. While alternative sources of mutual fund data exist, none offers Broadridge's wide and deep coverage of mutual fund data. FundPOINT data provides the solutions needed in today's highly regulated industry:

  • Master Security Data (MSD) – Clients need an up-to-date, reliable source of mutual fund data to minimize issues related to NIGO trades, SEC, FINRA, and MSRB rules and exams. When the data is clean, the manual efforts to review and correct errors are eliminated.
  • Fee Management and Disclosure – Complex reimbursement structures across multiple fund families require close attention to appropriate fee and expense data points when making trades across multiple proprietary platforms. Fee disclosure and tracking is at the top of the regulators' agenda and is a key area for compliance teams to focus on in the coming months.
  • Share Class Suitability – Financial advisors are paid for selling funds, not finding the right share class. Having the right data will enable them to avoid time- consuming research and potential embarrassment during examinations.
  • Point-of-Sale Disclosure – To record all share class decisions and help assure appropriate considerations were properly communicated, brokers and back-office personnel need a paper trail to justify decisions made at the point of sale. Fees, ROA and LOI rules, and breakpoints must be presented to investors, and captured for potential auditing purposes.
  • Fund Research – Call centers and back office personnel need research tools, but many available products are expensive and full of extraneous information and functionality that is not helpful to compliance and operations personnel.


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Is Your Mutual Fund Data Right?

FundPOINT® delivers the most comprehensive and accurate mutual funds rules from the definitive source: the SEC’s EDGAR system. This provides the capability to extract, organize, and maintain information at the share class level into fund-specific “compliance envelopes” – linking key compliance data to the source documents filed on EDGAR.

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FundPOINT® Suite

A Data and Desktop Solution that's accurate, comprehensive and EDGAR-sourced.

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