Regulation Best Interest Meet your Reg BI obligations with confidence.

Rollover Recommendations

Effortlessly document and disclose rollover recommendations

Use InvestorCOM to compare, document and disclose rollovers as part of your PTE 2020-02 obligations.

RolloverAnalyzer empowers financial professionals to intuitively:

• Assess how current services, costs, and client fit compare against the rollover recommendation.
• Explain how the client’s unique situation and preferences will impact the results of the best interest analysis.
• Document the rollover analysis via an intuitive, advisor-friendly workflow.
• Meet client disclosure obligation for PTE 2020-02.

Fully compliant with the DOL’s PTE 2020-02 rule and FINRA Regulatory Notice 13-45.

Annuity Recommendations

Make best interest annuity recommendations

Replace complex, manual processes with an intuitive digital solution for Fixed, Fixed Indexed, Registered Index, and Variable annuities.

PeerCompare streamlines Available Alternatives analysis, 1035 exchanges, and compliance documentation — all in one workflow.

• Identify and compare Available Alternatives to support best-interest recommendations.
• Native recordkeeping for Reg BI, NAIC Best Interest, and PTE 2020-02 requirements.

Best Interest Recommendations

Make investment recommendations that are in the client’s best interest

Broker-dealers and RIAs must have a clear understanding of the potential risks, rewards and costs of investment recommendations and show that “Reasonably Available Alternatives” have been considered.

PeerCompare helps financial professionals intuitively assess and document best interest recommendations.

• Evaluate reasonably available alternatives based on configurable peer groups.
• Compare best interest recommendations based on cost, risk and return metrics.
• Document best interest recommendations by generating recordkeeping transactions in a 17a-4 compliant manner.

Best Interest Recommendations

Make advisory and brokerage account type recommendations

Regulation Best Interest requires that dually registered individuals consider different types of accounts and different types of account features, products and services when making account recommendations.

AccountCompare provides a step-by-step process that eliminates the complexities around making best interest recommendations.

• Capture the rationale for account recommendations – client profile, suitability, assets, client needs and more.
• Our proprietary scoring methodology takes the guesswork out of determining best interest.
• Plain language summary of the recommendation and risk summary facilitates understanding.

Relationship Summary Disclosure and Recordkeeping

Compliantly manage electronic disclosure and Form CRS obligations

Brokers need to provide “full and fair disclosure” of all material facts associated with their client relationship.

Use ComplianceExpress to meet your recordkeeping and disclosure requirements with ease.

• Manage and e-deliver all compliance documents, including Form CRS, at scale.
• Trigger e-delivery of the required disclosures automatically at account opening through the DocumentDelivery API.
• In-person document delivery feature generates disclosure record.
• Meet the SEC’s framework for using e-delivery as a substitute for paper delivery.

Best Interest Shelf Management and Monitoring

Monitor and manage your product shelf

Best interest starts with your product shelf. InvestorCOM monitors industry data highlighting material changes on your product shelf enabling you to meet your care obligation.

• Track shelf updates for material changes.
• Monitor suitability to ensure investor portfolios remain compliant.
• Ensure products meet internal product guidelines for conflict of interest, policies and procedures.
• Assess the competitiveness of the products on your shelf.