Regulation Tech Tools

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 Salesforce.com or Docupace to name a few

(ask us how we make it easier)