Turn Compliance Challenges into Competitive Advantages

Welcome to the Resource Center for the DOL Fiduciary Rule. This page features tools and solutions you can use to comply with the new fiduciary ruling.

Whether you require a full-service capability or “a la carte” services, flexible DOL Fiduciary Solutions deliver consistency and efficiency across the DOL investor lifecycle:

  • Fiduciary Solutions for Validating Advisor Recommendations
  • Customer and Regulatory Communication Solutions
  • Compliance, Commission and Level Compensation Solutions

Please contact us for a personalized consultation.


Fiduciary Solutions for Success
Regardless of what the new administration may or may not do to the Department of Labor Conflict of Interest rule, trends indicate that many key aspects of the fiduciary standard are set to prevail.
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Broadridge Fiduciary Resource Center
 
 

Latest Information and Tools


DOL Solutions Guide
Download Now

Infographic: 10 Strategies to Prepare
Download Now

DOL’s New Conflict of Interest Regulations
Download Now

Infographic: Why Broadridge for Fiduciary Compliance?
Download Now

Customer and Regulatory Communications


Participant Experience White Paper
Download Now

Infographic: The Participant Experience: 5 Areas of Impact
Download Now

Survey on the Participant Experience
Download Now

Webinar: Make Fiduciary Rule Communications a Marketing Touch Point
Replay Here

Validating Advisor Recommendations


Video: Simplify Fiduciary Standards with FundPOINT
Watch Video

Article: Putting a Bell on the DOL Rule
Download Now

Guide: Automate Rollover, Suitability and Portfolio Recommendations
Download Now

White Paper: Better Equip Advisors for Fiduciary Standards
Download Now

Compliance, Commission and Level Compensation

Proactively Solving for the DOL’s Levelized Compensation Requirement
Download Now

Overview: Eight Strategies to Tackle Advisor Compensation
Download Now

Drive Visibility and Profitability Through Automated Revenue and Expense management
Download Now

Map a Plan to Master DOL Compliance Now
Download Now

Webinar: Fiduciary Commissions and Compensation
Replay here

DOL Resources

The Latest Information and Tools to Help You Comply.

DOL Solutions Guide
Download Now

Infographic: 10 Strategies to Prepare
Download Now

DOL’s New Conflict of Interest Regulations
Download Now

Infographic: Why Broadridge for Fiduciary Compliance?
Download Now
Replay Here
 

Customer and Regulatory Communications Solutions


Participant Experience White Paper
Download Now

Infographic: The Participant Experience: 5 Areas of Impact
Download Now

Survey on the Participant Experience
Download Now

Webinar: Make Fiduciary Rule Communications a Marketing Touch Point
Replay Here
 

Validating Advisor Recommendations

Video: Simplify Fiduciary Standards with FundPOINT
Watch Video

Article: Putting a Bell on the DOL Rule
Download Now

Guide: Automate Rollover, Suitability and Portfolio Recommendations
Download Now

White Paper: Better Equip Advisors for Fiduciary Standards
Download Now
 

Compliance, Commission and Level Compensation Solutions

Proactively Solving for the DOL’s Levelized Compensation Requirement
Download Now

Overview: Eight Strategies to Tackle Advisor Compensation
Download Now

Drive Visibility and Profitability Through Automated Revenue and Expense management
Download Now

Map a Plan to Master DOL Compliance Now
Download Now

Webinar: Fiduciary Commissions and Compensation
Replay here

Turn "best interests" into a competitive advantage
Want to ensure transparency, reduce risk and strengthen investor relations? View our 2-minute video on how to get the right data and automate workflows. WATCH NOW.