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4 pack
NEW! Rollover Training 

Work smarter to win more business with low exposure and give retirement investors better choices. This training is for Financial advisors and all who service or support Rollover business

Course Content:

  • Module 1: Smart Ways to Access Rollovers
  • Module 2: Smart Rollover Practices
  • Module 3: Smart Pricing
  • Module 4: Managing Exposures
4 pack 
NEW! Sample Templates 4 Pack 

Sample templates are the simple way to formalize the key requirements of the DoL Fiduciary Rule by making changes to the standard forms and adding necessary disclosures. The Sample Template 4 Pack includes Investment Discovery and Recommendations and Rollover Discovery and Recommendations.

bundle 408g 
Making the Most of 408g - The Series

Making the Most of 408(g) is a series of four reports (“Series”) designed to inform the decision and optimize the implementation of the 408(g) exemption. Each report is focused on a separate area of interest so that together the Series offers a broad understanding of the opportunities and implications of the 408(g).

The Series consists of reports covering:

  • Agreements, Disclosures, Notifications
  • Generally Accepted Investment Theories
  • Marketing 408(g)
  • Risk Management
408g Agree
Making the Most of 408g - Agreements, Disclosures, Notifications

This paper is one of a series that is intended to provide users and those considering use of 408(g) with guidance from the perspective of the independent auditor and independent expert required by the exemption.

This paper presents best practices for complying with audit and certification requirements relating to this communication.

Investment 408g
Making the Most of 408g - Investment Theories

This paper is one of a series intended to provide users and those considering use of 408(g) with guidance from the perspective of the independent auditor and independent expert required by the exemption.

This paper presents best practices for complying with audit and certification requirements for the variety of Generally Accepted Investment Theories.

Marketing 408g
Making the Most of 408g - Marketing 408g

This paper is one of a series intended to provide users and those considering use of 408(g) with guidance from the perspective of the independent auditor and independent expert required by the exemption.

This paper describes opportunities to leverage the 408(g) process to increase confidence of existing clients and make advice services more compelling for prospective clients.

risk
Making the Most of 408g - Risk Management 

This paper is one of a series intended to provide users, and those considering use of 408(g) with guidance from the perspective of the independent auditor and independent expert required by the exemption.




eDelivery
e-Delivery Benchmark Study

DALBAR will identify the current state of e-Delivery in Financial Services and report on the newest trends and best practices being used to incent clients to adopt e-Delivery of statements and other paper. Topics will include but are not limited to best practices used to achieve higher adoption rates, annual savings and adoption rates by client and document type, and social media and how it is being used to influence adoption.

Roundtable
e-Delivery Roundtable

DALBAR will host a one-day e-Delivery Roundtable in Boston, MA on May 15, 2018. The Roundtable will include a presentation from a DALBAR expert highlighting the findings from the 2018 e-Delivery Benchmarks Study. The Roundtable will also include presentations by industry leaders in maximizing savings through e-Delivery as well as a peer exchange of experiences and insights to address specific challenges and issues.

Additional attendees from the same firm enjoy a reduced registration fee of $750 per attendee.


execsummary
State of Authentication in Financial Services – Executive Summary

DALBAR and ThinkAdvisor conducted a survey of leading financial institutions to catalog the authentication practices currently being used across four points of entry into your records, including: websites, mobile devices, interactive voice response units (“IVR”), telephone contact centers, and online statements. This Executive Summary provides an overview of these defenses and allows your organization to compare its own cybersecurity practices to the financial community at large.

Roundtable
Multi-Sector Cyber-Defense Collaborative

Multi-sector Cyber-defense Collaborative (“MCC”) is a membership group formed to identify and share the most effective practices being used by financial services institutions and service providers to combat the threat of cybercrime. Through a combination of in-person and virtual meetings, each member gains access to the combined knowledge of MCC members. Tools are in place to allow a free exchange of ideas and to provide advance notice of potential cyber threats.

execsummary
State of Authentication in Financial Services – Authentication Trends

DALBAR’s Authentication Trends Report assists financial institutions in determining which practices need to be added or enhanced and the sequence for making improvements based on the risk, cost, timeframe and hurdles to overcome. This report breaks down the cyber-defenses currently in place for various points of entry, lines of business and audiences. Potential vulnerabilities are identified, as are specific practices gaining traction and falling out of favor. This report will assist institutions in setting priorities based on risk, cost, timeframe and hurdles to overcome.




State of the Industry - Online Enrollment
State of the Industry - Online Enrollment

The benefits of a Web-based enrollment experience are numerous - higher efficiency, lower likelihood of abandonment, immediate recognition of incomplete data, easier tracking, - just to name a few. DALBAR took a look at the State of the Industry with respect to Online Enrollment processes - participants' first experience with their plan provider - and measured the success of the efforts providers put forth in ensuring that they are offering nothing short of a crystal clear, engaging and seamless experience.

Best in Class Home Pages
Best-in-Class Life Insurance and Annuity Home Pages

First impressions Count! We're offered a very small window in time to get a reaction. Ideally, function and usability should take precedence over how one judges a Home Page, but there is that "appearance" issue to contend with as well. Ultimately, that first experience has the strongest impact on the big decision to take another step...

This report highlights the 10 Life Insurance and Annuity Web sites that DALBAR analysts identify as "Best-in-Class".

State of the Industry – Online Account Opening
State of the Industry – Online Account Opening

Offering anything other than a robust and captivating online pre-sale and account opening experience is one quick way to hamper the sales process. DALBAR’s State of the Industry – Online Account Opening research delves into the account opening experience offered to self-directed, robo-advisor and managed account clients and highlights best-in-class practices.

Best in Class Home Pages
Best-in-Class Plan Participant Home Pages

First impressions Count! We're offered a very small window in time to get a reaction. Ideally, function and usability should take precedence over how one judges a Home Page, but there is that "appearance" issue to contend with as well. Ultimately, that first experience has the strongest impact on the big decision to take another step...

This report highlights the 10 Plan Participant Web sites that DALBAR analysts identify as "Best-in-Class".

Plan Sponsor Website Ranking Report
Plan Sponsor Website Ranking Report

Who’s standing out from the crowd amongst Plan Sponsor Web sites? The top ranked sites serving Plan Sponsors are presented along with best-in-class practices utilized for relaying messages to sponsors.

Plan Participant Website Rankings
Plan Participant Website Rankings

Who’s standing out from the crowd amongst Plan Participant Web sites? The top ranked sites serving Plan Participants are presented within this report. Also highlighted are 5 Best Practices in financial services’ firms use of Twitter.

MI - The World of Mobile Optimized Web Sites
Mobile InSIGHT - The World of Mobile Optimized Web Sites

In order to remain 'in the customer's view', financial firms must stay current and leverage the mobile Web to establish a meaningful presence on their customers’ devices. However, two overarching questions remain: exactly what content should be mobile accessible and what is the best way to utilize screen space?

DALBAR's Mobile InSIGHT analyzed financial services firms’ mobile optimized Web sites and recognized those who create a meaningful user experience fit for mobile consumption.



Ranking Report
Mobile InSIGHT – Innovations in the World of Apps
This report analyzes financial services firms’ mobile software applications and recognizes those pacesetters whose mobile apps have led them to a higher, more continuous level of visibility. Read about trends and best practices, see app ratings, benchmarking stats and more.



WM Ranking Report
Mutual Fund Consumer Ranking Report

Who’s standing out from the crowd amongst Mutual Fund Consumer Web sites? The top ranked sites serving Mutual Fund Consumers are presented within this report. Also highlighted are 5 Mutual Fund landing pages that offer a high impact First Impression.

Ranking Report
Life Insurance & Annuity Consumer Ranking Report
Who’s standing out from the crowd amongst Life Insurance & Annuity Web sites? The top ranked sites serving Life and Annuity Consumers are presented within this report. Also highlighted are 5 Life Insurance landing pages that offer a high impact First Impression.

PreOrder Version
PRE-ORDER! 2018 QAIB Full Version $795
2018 QAIB Full Study for the period ended 12/31/2017. This study includes everything that is QAIB, as well as copyrights to its entire contents.
PreOrder Version
PRE-ORDER! QAIB Package $1250 (special pre-order price)
Full QAIB study plus Active vs. Passive

Receive the 2018 QAIB Full Study and learn the extent to which the historical performance advantage of passive investments is eroded by the behavioral influences.


SQM Caller Authentication Study
NEW! SQM Industry Insight: Caller Authentication in Financial Services
This study looks at the specific identifiers used for customers across the industry based on actual observations and considers the trade-offs to added security such as burdening the customer and increasing handle time. The study also considers the role of the automated phone system and looks at technologies which could fundamentally alter the way the security check is handled in the future.
SQM Call Center Survey Findings
NEW! 2016 Financial Services Contact Center Survey Findings
DALBAR's bi-annual Contact Center Survey takes an in-depth look at many of the issues that matter most to contact center managers within the Financial Services industry. Responses from over 40 leading financial organizations provide broad-based benchmarks for your firm over a wide range of topics.

For more information about DALBAR's online store, please contact Cory Clark at 617.624.7156.