Deliver on Best Interest Requirements
With Reasonable Available Alternatives (RAAs)
Reg BI Engine provides flexible compliance oversight by allowing financial professionals to select RAAs while enabling firms to enforce a centralized, controlled product framework.
Go beyond basic one-to-one comparisons. Instantly add RAAs across all product types, a unique approach that's powered by DDW's Platform Works to meet the approach regulators are looking for to ensure firms are truly doing their due diligence to act in the best interest of their clients.
- - Support informed product decisions in the best interest of your clients
- - One-click comparisons of RAAs across product categories
- - Easily document your rationale for the product selection
- - Produce outputs that can be stored in your existing repositories
- - Streamlined workflows for fast, repeatable documentation
- - Ability to add you firm's model portfolios & custom advisories
- - Configure available RAA's to align to your firm's selling agreements
ERISA Rollover Flows That Work
Satisfy DOL PTE 2020-02 Requirements
Supporting firms in mitigating institutional risk by providing intuitive workflows that satisfy regulatory requirements.
Gain Efficiency
Provide Real-Time Feedback to Financial Professionals
Improve Your Firm's Ability to Move Fast by Reducing NIGOs
DDW's Proprietary 4 box scoring enables real-time RAA comparisons between product features and strengths across all product types.
DDW's unique functionality equips your team with the ability to make in-the-moment strategic shifts to avoid having to go back to the drawing board, all while creating reg-ready documentation for selection rational.
Custom Branded Forms
Use pre-built or custom forms with edit-able conditional logic (with consideration to expenses) to align to your firm's specific requirements & risk appetite.
Includes the ability to pre-fill, hide and lock the modification of form fields by advisors to help reduce errors and risk.
Configurable Outputs
From custom branding, to content modifications, outputs can be configured to match your existing outputs.
Need to modify? Not a problem, outputs are determined based on the current form fields to ensure you have everything you need, and nothing you don't.
Keep Pace
Benefit from DDW's constant exposure to regulators. Our team and solutions are consistently in-front of and working with regulators.
Our team's ongoing engagement ensure you're using the latest and best documentation to comply with PTE 2020-02 and other requirements.
Product Research That Works
One Unified Portal
Search at Scale for On-Demand Product & Fee Info
ERISA Engine includes access to the DDW Platform Works research portal. Equip Home Office and Financial Professional teams to leverage the Advisory Engine functionality to conduct product research and fee comparisons in a single portal.
- On-demand analysis and the tools to support informed oversight across thousands of products, and spanning product types including investment and insurance products, annuities, ETFs, mutual funds, structured products, and more.
- Powered by the qualitative and quantitative research, conducted by DDW's team of experienced product analysts.
