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Mapping a Plan to Master DOL Compliance

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The new fiduciary and conflict of interest rules will impact every aspect of your business. The timeline for compliance is short, and regulatory scrutiny will be intense. Fortunately, you don't have to go it alone. 

As your single source to data aggregation and analytics, workflow solutions and multi-channel communications, Broadridge can help you achieve compliance on your terms – making fiduciary obligations an additional marketing touch point to help differentiate your firm. Whether you require a full-service capability or “a la carte” services, our flexible DOL Solutions deliver consistency and efficiency across the DOL investor lifecycle. 

  • DOL Fiduciary Solutions
  • DOL Customer Communications
  • DOL Compliance Management

Learn more. Download our DOL Solutions guide today.
 
 
Validate | Communicate | Comply

Learn more. Download our DOL Solutions guide today.
Validate | Communicate | Comply

Survey of the Participant Experience in the New Fiduciary World
Trends in the Retirement Industry and Participant Experience Design Impacted by the New Fiduciary Rule
Download the report

Survey of the Participant Experience in the New Fiduciary World
Trends in the Retirement Industry and Participant Experience Design Impacted by the New Fiduciary Rule
Download the report

Contact us today for proven ways to simplify compliance, reduce costs and strengthen customer relationships.

ARTICLE
Retirement Communications: Beyond the Boomers
Millennials are the first digitally native generation, and reaching them across the litany of channels they prefer has been a challenge for retirement plan providers.
Read Article



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Recently the DOL re-proposed regulations that would expand the definition of ERISA fiduciary investment advice and apply a “best interests” standard to a broader range of investment services, including certain IRA rollover recommendations. This report will help you prepare for these proposed changes in your business


INFOGRAPHIC
Ten Ways to Prepare for Compliance
Firms must prepare for compliance with the new Fiduciary Rule deadlines. But don’t lose sight of the participant experience in the rush to comply. Here are 10 steps you can take now.
Download Now




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Download our report, 


REPORT
Validate Advisor Recommendations with Broadridge's Fiduciary Solutions
FundPOINT® provides a complete suite of fiduciary solutions to ensure "best interest" standards are met.
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WEBINAR
The Participant Experience in the New Fiduciary World
How will the new regulations impact experience design? Cindy Volker and Cynthia Hayes answered your questions in a live webinar. Listen to the replay here.
Watch Now
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WHITE PAPER
ERISA Fiduciary Issues
A Practical Guide for Advisors - With increased governmental scrutiny and new rule-making in play, it is in the best interest of all advisors working with retirement plans, even if it’s just one plan, to know if and when they act as fiduciaries to the plan.
Download Now
DOL Fiduciary Rule: Ten Strategies to Prepare
Download the Report

Recently the DOL re-proposed regulations that would expand the definition of ERISA fiduciary investment advice and apply a “best interests” standard to a broader range of investment services, including certain IRA rollover recommendations. This report will help you prepare for these proposed changes in your business. Download now


INFOGRAPHIC
Ten Ways to Prepare for Compliance
Firms must prepare for compliance with the new Fiduciary Rule deadlines. But don’t lose sight of the participant experience in the rush to comply. Here are 10 steps you can take now.
Download Now
Download the Report


E-BOOK
Overcoming the Retirement Squeeze
Reduce costs, build digital relationships and create winning customer experiences.
Learn More
Download the Report


WHITE PAPER
Retirement Communications: Emerging and Future Trends
Strategies to guide retirement plan providers in developing a new participant communications model.
Download Now
Download the Report


REPORT
Top 401 Retirement Advisors
What does it take to come out on top? Broadridge provided unique data from its proprietary database of 401(k) plan advisers to power the rankings.
Learn More
Download the Report


ARTICLE
Retirement Communications: Beyond the Boomers
Millennials are the first digitally native generation, and reaching them across the litany of channels they prefer has been a challenge for retirement plan providers.
Download Now
Download the Report


WHITE PAPER
Digital Transformation of Insurance Communications
When it comes to digital transitions, insurance carriers face challenges. By adopting a customer-centric approach, firms can increase digital adoption and improve their brand experience.
Download Now

Download the Report


REPORT
DOL’s New Conflict of Interest Regulations
Eight things you need to know about the final ruling.
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REPORT
DOL’s New Conflict of Interest Regulations
Eight things you need to know about the final ruling.
Download Now