Best Interest Compliance

AccountCompare simplifies due diligence and Reg BI compliance with a step-by-step process to compare account type recommendations.

• Deliver best interest rationale to clearly explain the basis for the recommendation
• Email the disclosure through the platform and automatically record all documentation for future reference and easy access

With PeerCompare, demonstrate that you are acting in the client’s best interest with an investment product peer group analysis.

• Facilitate meeting the Care Obligation and Reg BI with a standardized process
• Gain an accurate picture of how your investment recommendation stacks up against its peers
• Document best interest rationale, share with the client, and record all activity

Eliminate manual processes around rollovers with RolloverAnalyzer, a digital tool designed to enable compliance with the DOL’s PTE 2020-02 rule and amendments.

• Enumerate points of analysis regarding service, client fit, and cost criteria
• Automatically generate compliance text providing the ‘reasons why’ to support best interest rationale
• Access your client’s employer-sponsored plans from the Form 5500 database and benchmark data to easily assess plan costs