408(g) AuditsThe purpose of 408g audit is to establish that a fiduciary adviser is in compliance with ERISA section 408(g) (part 2550.408g of Title 29 of the Code of Federal Regulations).

ERISA 3(38) CertificationThe Dalbar 3(38) Certification Program provides investment managers with a powerful combination of sales tool and compliance disclosures to satisfy the requirements of ERISA section 3(38). Certification enables investment managers to use client testimonials to advertise and attract new assets.

Computer Model CertificationThe Dalbar’s Computer Model Certification provides firms that seek to comply with advice regulations for IRAs and 401(k) participants with the required credentials to comply with the regulations. Certificants receive a distinctive mark of quality in the form of the DALBAR Seal that differentiates the model from the hundreds of other that are non-compliant.

Qualified Default Investment
Alternative ValidationDalbar's Qualified Default Investment Alternative (QDIA) Validation establishes a standard for evaluating QDIAs for compliance with regulatory requirements and supports the process of selection and monitoring of QDIAs required of ERISA plan fiduciaries.

Fiduciary Risk Assessment (FRA)The Fiduciary Risk Assessment process steps plan sponsors through a series of questions and then issues a report on the health of the plan and when applicable, changes or next steps. In cases where there are significant deficiencies a further in-depth evaluation may be suggested.

Compliance Support Services (CSS) The mission of Compliance Support Services (CSS) is to lower business risk and the cost of compliance review and monitoring through industry wide standardization, collaboration and tools.

Compliance ForumDalbar’s Compliance Forum brings together decision makers within financial services compliance who are leaders in setting strategy for developing and maintaining compliance standards.

Due Diligence ToolkitAccess a number of Due Diligence resources, including: Dalbar's summary of DoL ERISA Adviser minimum requirements, Dalbar's Due Diligence Disclosure form and a link to the SEC's tips for the selection and monitoring of pension consultants.

Fiduciary Adviser Network (FAN)The Fiduciary Adviser Network (FAN) is a turnkey solution for advisers seeking to promote advice services to plan sponsors and their participants. The program performs the independent third party review and audit required to provide advice to retirement plan participants.