Adding Fund Facts via Fundata

R-Desktop : Adding and Maintaining Client Information (CIF) : Adding Fund Facts via Fundata

This screen is accessed by selecting “Fund Facts” from the 'More...' drop-down list on the Client Overview screen. It displays a table that will record all the disclosures made to the client of Fund Facts documents associated with specific fund investments set up in R•Broker. The records are sorted based on the Fund Code, alphabetically ascending when the screen is initially accessed. The operator can then sort based on the Last Delivered date thereafter.

In addition, if a Fund Facts document has been delivered to the client via the existing functionality on the fund holding(s) in the client's account (i.e. a value exists for both the Document date and Last delivered date fields on the Fund Transaction Summary screen for mutual fund(s) held by the client) a record or records will be added to this screen. The record will display the Document date and Last delivered date exactly as it appears on the Fund Transaction Summary screen.

A Fund Fact Information record will not be added for Managed Portfolio fund investments selected on the Fund Facts Information Details dialog. When the fund investment selected is a Managed Portfolio, records for each of the individual child funds contained within it will be added. The Managed Portfolio fund investment will not be created.

To add fund facts

1. Follow the procedure Searching for a Client.

2. On the Client Overview screen, select Fund Facts from the More... drop-down list. The Fund Facts Information Summary dialog appears.

Item	Type	Description
Search	button	Searches for a fund facts information record. Enter the code in the Fund Code field, then click button. If no value is entered, all Fund Facts Information records that exist for the client are displayed.
Retrieve History	button	initiates the SEARCH Message API call to Broadridge Smart Advisor Web Services in order to retrieve any Fund Facts document delivery information stored for the client for funds listed in the table on this dialog.
Send Fund Facts	button	Enabled when the check box for one or more records in the table is selected. Triggers an email delivery of the Fund Facts document for all the records selected in the table. Opens the Fund Facts Delivery Confirmation dialog to select the email address to which the document(s) will be sent.
Get Funds Facts	button	Enabled when the check box for one or more records in the table is selected. Allows the operator to request the Fund Facts document for all the records selected in the table (via the check box). All documents retrieved will be presented on the existing Fund Facts screen.
Mail Fund Facts	button	Used to mail the Fund Facts document(s) to the client's primary mailing address.
Waive Disclosure	check box	Enabled when the check box for one or more records in the table is selected. Waives the disclosure requirement for all records selected in the table. The operator will be required to select the Save button on this dialog to update the waive indicator on all associated Fund Facts Information Detail records.
Reason	drop-down list	Enabled and required when the Waive Disclosure check box is selected.
View/Edit	buttons	Opens the Fund Facts Information Details dialog where an existing fund fact record can be viewed and modified.
Add	button	Opens the Fund Facts Information Details dialog where a new fund fact record can be added.
Save	button	Saves any updates made to the associated Fund Facts Information details records displayed in the table.
Cancel	button	Closes the dialog without saving changes.