Comprehensive ERISA Compliance and Risk Management Solutions for Broker-Dealers and RIAs
Agreements, model forms, disclosures, policies & procedures and training materials

Broker-dealer/RIA firms have unique needs when balancing risk management and competition in the retirement space. PRI assists BD/RIAs with understanding their risks and building programs to comply with ERISA and meeting the ever-changing regulation and enforcement by the Department of Labor (DOL), FINRA, and SEC. PRI provides a library of proprietary resources, paired with unlimited home-office consulting services to give your firm the compliance, strategy, and practice management tools you need to thrive in the retirement marketplace.

Development and maintenance of key documents and rule-monitoring services tailored to your business

  • Reviewing business models for conflicts and prohibited transactions
  • Configuring ERISA and IRA agreements, disclosures, and compliance policies
  • Keeping you informed on new laws, regulations, and retirement industry practices
  • Promoting compliance for IRA rollovers under DOL PTE 2020-02 and the Retirement Security Rule (a.k.a. “Fiduciary Rule”)
  • Assistance with “Retrospective Reviews” required under PTE 2020-02

Balancing risk management with growth and marketability

  • Unlimited consulting on compliance-related matters, operational efficiencies, and technology
  • Trust officer and administrator training and education to promote increased understanding of the rules
  • Curated practice management and client-facing resources, including whitepapers and thought leadership

Continued growth and scale of your retirement business through client-facing deliverables and education

  • Fiduciary roadmap: G-MAP business-building resources for trust officers, administrators, and plan sponsors
  • Sample client communications on new laws, regulations, interpretations, enforcements, and litigation trends affecting plan sponsors and retirement investors
  • Customizable platform with training and client-facing resources
  • Technical consulting for case-specific questions

For More Information

For more information about PRI’s services, or to schedule a demo, please contact us.

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