Leverage Advanced Technology to Comply with the DOL Fiduciary Rule
The Department of Labor Fiduciary Rule and the resulting maze of policy, audit, and oversight requirements places new pressure on broker dealers, investment managers, and advisors to re-evaluate their compliance practices.
Since the regulation was announced, firms have turned to VestmarkONE to transition commission based retirement assets held in brokerage accounts into fee-based advisory programs. The solution fully automates key processes across the investment life cycle to scale with evolving compliance requirements.
- Easy-to-use proposal generation
- Scalable portfolio construction, trading, and re-balancing for managed accounts in retirement plans
- Flexible compliance engine and dynamic heat maps
- Support for third party reconciliation
- Granular performance measurement analytics
- Customizable reporting tools
We can help you migrate your retirement accounts from commission-based brokerage to fee-based advisory, contact us for a consultation.