DOL Compliance

Comply with the new fiduciary rules

Do more than simply comply with best interest standards. Proactively manage and mitigate risk, while ensuring that you deliver the right advice and solutions to your clients with our Fiduciary Compliance Solutions.

Communicate and comply with the DOL Fiduciary Rule

Validate investment recommendations, communicate with your investors and comply with new compensation structures using our suite of DOL solutions.

Validate Advisor
Calculate Commissions
Fulfill Customer
Fee Accuracy
and Transparency
Ongoing Risk
Ensure Sell List

Learn about Broadridge's full suite of DOL compliance.

DOL Fiduciary Solutions

Validate your investment recommendations
  • Use powerful fund screening tools to act on the investor’s behalf
  • View fees and fund information from EDGAR-sourced data
  • Access current data for mutual funds, ETFs, VAs and 529 plans
  • Simplify 401(k) plan-to-IRA rollovers with automated documentation and archival
  • Easily identify the most suitable funds and share classes

DOL Customer Communications

Don't just comply, differentiate your firm
  • Create timely communications and distribute across multi-channels
  • Deliver complex, personalized, and time-sensitive content
  • Develop and maintain a website that makes disclosures easily accessible
  • Respond quickly for individual requests for more detailed information

DOL Compliance Management

Manage and mitigate risk on an ongoing basis
  • Achieve accuracy and transparency in fees and compensation
  • Centralize and automate calculation, reconciliation, and allocation
    of fees
  • Track third-party revenue and/or compensation related to
    retirement assets
  • Collect data at the individual and account levels, including
    held-away assets
  • Aggregate transactional and account data from clearing firms
    and custodians
How We Can Help

Leveraging data to steer clear of conflicts

Mutual funds and ETFs tracked by our DOL Compliance tool.
Client communications delivered annually.
North American mailboxes receive communication from Broadridge.
Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities

Let’s talk about
what’s next for you

Our representatives and specialists are ready with the solutions you need to advance your business.