When FINRA calls, it’s essential to have the prospectus from the original trade date to prove you complied with the correct breakpoints and NAV transfer rules, applied the appropriate fees and met other mutual fund rules and requirements. But what if the trade date was 5, 10 or even 15 years ago? Chances are you won’t have the old prospectus on hand nor will you have the time and resources to track it down and ensure that it’s correct.
Broadridge FundPOINT Research is a web-based lookup tool that provides access to current and historical mutual fund, variable product and ETF compliance documents. FundPOINT Research helps you navigate through source documents to more easily manage regulatory reviews and trade reconciliations.
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