Tag: Compliance services

Plan advisers can consult with plan sponsors about their SPDs and determine if they are simple enough for employees to understand while also not subjecting sponsors to legal...

A new suite of technology driven solutions from Broadridge Financial Solutions seeks to solve pressing questions related to the Department of Labor conflict of interest reform. 

Cetera Financial Group announced the launch of iAnalyze, a new practice management analytics tool aimed at supporting fiduciary oversight and compliance. 

The tool is designed to help advisers seamlessly transition IRAs from commission status to fee based in order to comply with the DOL’s Fiduciary Rule.

“The history of the ERISA industry has shown that any time there’s real change there is also real opportunity that comes along with it.”

A new software solution from RiXtrema addresses DOL fiduciary rule compliance for advisers finding themselves on a new regulatory playing field when it comes to rollover recommendations. 

The firm says its latest assessment tool is part of a larger readiness campaign to prepare advisers for a new fiduciary paradigm. 

The firm says its latest technology solutions and consulting services will assist advisers and enterprises in complying with the Department of Labor’s fiduciary rule reform. 

The Department of Labor fiduciary rule will fundamentally change the way companies and financial professionals interact with their clients. 

The new program from PCS enhances advisers' ability to establish and demonstrate compliance with the DOL's fiduciary rule reform. 

The most overlooked source of data breaches is employee-related negligence, according to an IT firm which just launched an educational program for financial advisers.  

The firm announced availability of a new suite of resources and tools to help independent financial advisers develop, strengthen and maintain their cybersecurity defense. 

Even advisers who feel well prepared for the DOL new fiduciary rule will face an increased amount of paperwork and disclosure, both internally and coming from outside providers.

Nearly one-third of respondents to a Willis Towers Watson survey have had their retirement plans audited by the IRS or DOL, and the rate is even higher among...

RetirementAdvantage is now available through LPL’s Vendor Affinity Program

The MyRIACompliance program from RIA in a Box now includes updated compliance and automation software supporting registered investment advisers.