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.Buy now!
Current practices for advisors and for compliance must be revised and written procedures prepared to satisfy the Best Interest Contract Exemption ("BICE"). Existing practices must be examined to determine which must be changed, eliminated and new practices adopted. In addition to BICE requirements, revised practices must meet the financial institution and advisor's business goals...Read more
The Compensation Compliance Test ("CCT") is an online line tool that leads to the minimum revenue loss while fully complying with the letter and the spirit of the fiduciary rule. CCT reflects the full range of services clients receive, what these services cost and a reasonable profit margin. Unprofitable clients and those who may be overpaying for the services they receive are identified for corrective action.Learn more