FDI’s Best Interest Solution for IRA rollovers helps you comply with the requirements of FINRA 13-45, Regulation Best Interest and DOL’s Prohibited Fiduciary Advice Exemption to ensure a participant’s best interests are considered when evaluating a rollover from a plan to IRA.
FDI’s solution will support the following types of rollovers: recommendation, education, hire me and unsolicited. Each of these types is supported by workflow and output that supports proper decision making and documentation.
The FDI Best Interest platform is designed to become part of your existing business processes. Examples of available systems integrations include: account opening, risk tolerance, investment analytics, third party investment management and books and records systems.