DOL Compliance

Fiduciary compliance for retirement services providers

Go beyond compliance, take a proactive approach to managing risk and meet a higher standard of guidance for your clients with DOL Compliance and other fiduciary solutions from Broadridge.

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 investors' behalf
  • Identify the most suitable funds and share classes
  • Deliver up-to-date prospectuses at the point of sale
  • Ensure ongoing suitability with periodic fund evaluation

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 management 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.