Close
Access the latest news, analysis and trends impacting your business.
Explore our insights by topic:
Additional Broadridge resource:
View our Contact Us page for additional information.
One of our sales representatives will contact you about your submission.
Welcome back, {firstName lastName}.
Not {firstName}? Clear the form.
Want to speak with a sales representative?
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Our representatives and specialists are ready with the solutions you need to advance your business.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |
Nos représentants et nos spécialistes sont prêts à vous apporter les solutions dont vous avez besoin pour faire progresser votre entreprise.
Vous voulez parler à un représentant commercial?
| Table Heading | |
|---|---|
| +1 800 353 0103 | Amérique du Nord |
| +1 905 470 2000 | Canada Markham |
| +1 416 350 0999 | Canada Toronto |
Votre soumission a été reçue. Nous communiquerons avec vous sous peu.
Vous souhaitez parler à un commercial ?
| Table Heading | |
|---|---|
| +1 800 353 0103 | Amérique du Nord |
| +1 905 470 2000 | Canada Markham |
| +1 416 350 0999 | Canada Toronto |
NEW YORK, N.Y. – Sept. 8, 2021 – To support wealth and retirement professionals as they address new requirements associated with the Department of Labor’s Prohibited Transaction Exemption 2020-02 (PTE 2020-02), Broadridge Fi360 Solutions announced an enhanced Decision Optimizer software for financial advisors. The enhanced capability supports advisors with PTE 2020-02 requirements that take effect December 20, 2021, as well as ongoing IRA rollover and related compliance needs.
The Decision Optimizer tool, first launched in July 2020 in response to Regulation Best Interest, offers a highly customizable, turnkey solution to help financial advisors and home-office clients comply with evolving ERISA plan/IRA transfer regulatory requirements. Advisors can access PTE 2020-02-specific rollover analysis criteria, plan fee benchmarking data, attestations, and home office surveillance of rollover comparisons, improving workflows to better align with current and future compliance conditions.
Broadridge Fi360 Solutions worked to enhance the tool with ongoing support from the Pension Resource Institute to develop best practice criteria that is easily adaptable as the regulatory environment evolves.
“The enforcement date of December 20, 2021 and associated requirements are creating meaningful challenges for advisors and home offices. Working alongside PRI and our clients, we’re excited to offer a turnkey solution to help drive compliance,” said John Faustino, Head of Broadridge Fi360 Solutions. “We’re thrilled to bring PRI’s expertise to our client base and to continue helping advisors simplify and implement fiduciary processes.”
“We’re excited to work with Broadridge Fi360 Solutions to deliver services that address the technical and evolving regulatory environment,” said Jason C. Roberts, Chief Executive Officer at Pension Resource Institute and Retirement Law Group. “Broadridge Fi360’s deep knowledge of the fiduciary advisor landscape with 20 plus years’ experience and superior technology resources, combined with our intellectual property and focus on ERISA legal and compliance issues, enables us to bring actionable and scalable solutions to serve our respective clients.”
About Broadridge Fi360 Solutions
Broadridge Fi360 Solutions provides fiduciary education, training and technology to help financial intermediaries use prudent fiduciary practices to profitably gather, grow and protect investors' assets. Since 1999, the firm has provided financial professionals with the tools necessary to act as a fiduciary in their work with investors. Headquartered in Pittsburgh, PA, Broadridge Fi360 Solutions is the home of the Accredited Investment Fiduciary® (AIF®) Designation, the Fiduciary Focus Toolkit™, CEFEX and the Fi360 Fiduciary Score®. Fi360 was acquired by Broadridge Financial Solutions, Inc. (NYSE:BR), a global Fintech leader and part of the S&P 500® Index, in 2019. Learn more at www.Fi360.com.
About Broadridge
Broadridge Financial Solutions (NYSE: BR), a global Fintech leader with over $6 billion in revenues, provides the critical infrastructure that powers investing, corporate governance, and communications to enable better financial lives. We deliver technology-driven solutions that drive business transformation for banks, broker-dealers, asset and wealth managers and public companies. Broadridge's infrastructure serves as a global communications hub enabling corporate governance by linking thousands of public companies and mutual funds to tens of millions of individual and institutional investors around the world. Our technology and operations platforms underpin the daily trading of more than $10 trillion of equities, fixed income and other securities globally. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 14,000 associates in 21 countries.
For more information about us, please visit www.broadridge.com.
To contact media relations, please email us at mediarelations@broadridge.com.