DOL Readiness

The Department of Labor (DOL) fiduciary rule is changing the way financial advisors conduct business. This package of separate rules that create, amend or revoke existing laws regarding retirement accounts goes into effect in 2017.

Determine Your Revenue at Risk

Need help gauging your readiness for the DOL rule? Our diagnostic tool—iQuantify—can evaluate your overall level of risk in just a few minutes and offer resources to help.

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Do something about it

You know the DOL rule could affect your bottom line. iAnalyze will help you identify the impact of the DOL rule by analyzing your business across revenue streams and product categories; isolating revenue, assets and accounts at risk as a result of the rule; and providing multiple download options to further your analysis.

An actionable three-phase program for adapting to this transformative issue.

Get Up To Speed

The DOL rule is imposing a stricter fiduciary standard on financial advisors giving investment advice to retirement plans and their participants. Being a fiduciary fundamentally changes the way you interact with clients and conduct business, especially with respect to brokerage and IRA clients.

Learn more through a comprehensive suite of educational resources and monthly webinars, supported by a dedicated team of more than 50 specialists.

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Evaluate Your Business

Understand how the rule will affect your business by knowing what types of accounts and assets are in your book of business, where assets are held, and if the accounts are fee-based advisory accounts or commission-based brokerage accounts.

Use our business diagnostic tool to gauge your DOL readiness. Take a quick, 14-question assessment to identify potential at-risk revenue, understand your ability to recapture potentially lost revenue, and receive a customized educational track to prepare for DOL compliance.

Transition Your Business

Technology solutions and consultation with our DOL DynamIQs™ Consulting Team will help you review all wealth management products across your business, create a plan and map to DOL-compliant solutions.

Leverage client engagement process tools to better understand the most effective ways to communicate with clients as you develop a transition plan for retirement accounts.

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