Regulation Tech Tools

Reg BI Tools

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Reg BI
401k Rollover

ERISA (401k) Rollover Tools

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Reg Tech Tools

ERISA Rollovers (DOL PTE 2020-02) and Reg BI (with Reasonable Available Alternatives)

ERISA Rollovers (PTE 2020-02)

  • Collect the rollover plan expenses
  • Determine the destination portfolio
  • Document the reasoning for the rollover
  • Produce documented output for scanning into your current process

Reg BI with Reasonable Available Alternatives

  • Allow Financial Professional to select reasonable available products (provide choice and empowerment and decentralized risk)
  • Or enable system to provide reasonable available products (provide systemic controlled solution with centralized risk)
  • Look across product categories, because reasonable doesn't always mean in the same product type
  • Document your rationale for the selection
  • Produce output that can be stored in your existing repositories
  • We don't capture duplicate information, such as risk tolerance, which can only get you in trouble

Integration Partners

Avoid the Swivel Chair - Connect Reg BI and Rollover Outputs to your CRM or Operations platform

We currently integrate with or Docupace to name a few

(ask us how we make it easier)

Ready to Protect and Grow Your Business?