Broker-Dealers/RIAs
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.