Electronic Prospectus Services
Overview
Through Broadridge's electronic prospectus services, online investors or prospects can immediately retrieve, view, and act on information that was previously available only in a printed format. Utilizing the only electronic, SEC-compliant data warehouse through our alliance with NewRiver, Broadridge can provide both pre- and post-sale materials using the Internet to meet regulatory requirements, and the informational needs of today's shareholders and intermediaries. When you provide online delivery, you reduce expenses, satisfy compliance regulations, shorten the distribution process, and maintain a competitive edge.
Benefits for Financial Managers
- Prospectuses for over 20,000 funds are available
- Electronic delivery provides fast and efficient document delivery while significantly reducing distribution expenses such as postage
- The web-based presentation, with no requirement for additional software or plug-ins, ensures that documents can be viewed from any centralized or remote Internet-connected desktop regardless of browser or software versions
- Prospectuses are sourced directly from documents filed with the Securities and Exchange Commission, ensuring the accuracy and timeliness of the information
- Our document database can be customized to display only those funds for which a firm has a selling agreement
- Pre-sale prospectuses are available via a direct link from your web site, immediately connecting your client to information at the moment the investment decision is made
- Each prospectus is presented in a standard format, including links to any relevant Statements of Additional Information, Annual Report and Semi-Annual Report
- Post-sale delivery occurs via an e-mail notification that contains a hyper-link directly to the prospectus
- Electronic prospectus delivery can be integrated with Broadridge’s paper-based fulfillment solutions
- Delivery errors for post-sale prospectuses will result in a fail-over to paper delivery
- Integration with electronic CRM application
Additional Features
- Thousands of updates processed daily through patented workflow process
- Full print-ready library for emerging Print-On-Demand (POD) applications
- Patented compliance envelope linking all funds via common identifier
- Dynamic URL creation providing rapid and direct access to specific documents
- Client control of fund availability that can be changed daily
- Full XML support for fund summaries and POD applications
- Multiple daily quality control checkpoints ensure data integrity
- Flexible delivery - Seamless to your website (pop-up screen, within your web-page, or third party hosted screen)
Benefits for Shareholders
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- Instantaneous access to the most current prospectuses
- Integration with intermediary's website allows for one-stop shopping for both firm provided data and the prospectus
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- E-mails speed notifications to investors far in advance of traditionally mailed paper copies
- Ability to select the delivery options that suits the investor's needs -- traditional print and mail, or electronic delivery
- Browser independent, Web-based platform enables shareholders to view their documents wherever and whenever is most convenient for them -- at home, at work or on the road
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Content Supported
A complete source of mutual fund and equity compliance information including:
- Fund Prospectuses (over 20,000)
- Statements of Additional Information
- Annual and Semi-annual Reports
- Supplements (Stickers)
- Fund Profiles
- Structured Finance
- Municipal Bonds, Government Backed Issues
- Variable Annuities (complete set over 3000)
- Unit Investment Trusts
- Equities (including 10K Annual Reports and Proxy Material)
- Canadian Mutual Funds
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