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Amid this period of ongoing change, with the potential for continued market volatility, Broadridge stands ready to help you navigate what’s next. Our highest priorities are keeping our associates safe and ensuring our ability to serve our clients. View resources.

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Mapping a Master Plan to DOL Compliance

The DOL Conflict of Interest Rule is expected to have the biggest impact on financial services since ERISA was enacted in 1974.

As firms scramble to comply, four key questions rise to the surface:

  • How will the DOL Conflict of Interest Rule impact their current mode of business?
  • What do they need to do over the next seven months to comply by April 10, 2017 when the new standard goes into effect?
  • What steps need to be taken during the transition period from April 10th to “go live” on January 1, 2018?
  • And perhaps most important, how can they turn this compliance challenge into a competitive advantage?

To not only survive, but thrive in the post DOL-rule era, firms need to map out a plan to keep them focused and on track.