Regulations Driving Change

  • DOL Fiduciary Rule requires the determination of fee reasonableness and best interest determination for IRA rollovers
  • FINRA Regulatory Notice 13-45 (December 2013) reminded firms of their responsibilities when recommending a rollover or transfer of assets from an IRA to a qualified plan and how IRA’s are marketed

 

Change Demands Solutions

  • Best Interest Determination
  • Fee Reasonableness/Benchmarking
  • Compliance Analytics and Workflow Solutions
  • Point of Sale Reporting
  • Integration with existing processes and systems

 

Partner For Success

FBi will bring you the right:

  • People
  • Process
  • Technology
  • Results