2022 Broadridge Financial Solutions, Inc. , Consumer Preference and Profile Management, Global Tax Reclaim and State Tax Reporting, Managed Services, Hosting and Integration, Performance Dashboards and Operational Reports, Drive profitability with automated revenue and expense management, Enhance and simplify portfolio management, Simplify regulatory and compliance reporting, Maximize participant and plan sponsor engagement, Manage risk and optimize operational efficiency, Adapt to growing investment complexity and regulatory burden, Support operational control and scalability, Optimize operating model with financial services business process outsourcing, Streamline trade support, governance and compliance services, Enhance accuracy and visibility across the entire data life cycle, Reach customers across print and digital channels, Measure the impact of your communications, Deliver relevant, personalized digital and print communications, Gain a single view of customer identities and preferences, Transform your print and digital communications, Tackle your Reg BI obligations with confidence, Enhance the client experience with dynamic advisor tools, Advance control, risk and support services, Optimize your operating model with business process outsourcing, Empower your transformation with confidence, Streamline communications to drive down cost, Streamline disclosure and stay in compliance, Maximize ESG impact and bolster long-term sustainability, Increase efficiencies in managing cash and risk, Streamline proxy and annual meeting services for your clients, Take companies public with single-source simplicity, Simplify capital markets and annual compliance disclosure, Enhanced shareholder engagement for alternative investments, Enhance marketing and sales, empower agents and brokers, and engage members, Onboard members with personalized documents and experiences, including ID cards and welcome kits, Make an impact with your correspondence, statements, bills and wellness programs, Optimize and customize patient communications, including statements, Explanation of Payment (EOP) and claims, For Fund Administrators and Prime Brokers, Compliance and Regulatory Accounting Process Outsourcing, Composition and Publishing for Legal Documents, Data Control Business Process Outsourcing, Expense Management business process outsourcing, FIX Technology and Client Connectivity Services, Notice and Access & Inventory Management and Fulfillment, Post Trade Processing Business Process Outsourcing, Post Trade Processing Business Process Outsourcing for EMEA and APAC, Reference Data Business Process Outsourcing, Regulatory Trade and Transaction Reporting, Revport custodian bank billing management, Communications and Customer Experience Consulting, Environmental, Social and Governance (ESG). The Decision Optimizer tool, first launched in July 2020 in response to Regulation Best Interest, offers a highly customizable, turnkey solution to help financial advisors and home-office clients comply with evolving ERISA plan/IRA transfer regulatory requirements. 0000064475 00000 n

0000031708 00000 n 0000020034 00000 n Broadridge Fi360 Solutions worked to enhance the tool with ongoing support from the Pension Resource Institute to develop best practice criteria that is easily adaptable as the regulatory environment evolves. 0000007683 00000 n hznn{'aTw2oWb A4G NEW YORK, N.Y. Sept. 8, 2021 To support wealth and retirement professionals as they address new requirements associated with the Department of Labors Prohibited Transaction Exemption 2020-02 (PTE 2020-02), Broadridge Fi360 Solutions announced an enhanced Decision Optimizer software for financial advisors. [l]>xB0SmpB1e/e*VcmP Dash. 0000007523 00000 n iFoNMJf 6D+DR0>6yI w'L

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endstream endobj 422 0 obj <>/Subtype/Form/Type/XObject>>stream Since 1999, the firm has provided financial professionals with the tools necessary to act as a fiduciary in their work with investors. s#B* |xk@ w h}CI]m v -| ~ej\tu^&.z-t"A9o-vq]s* 0000001483 00000 n View our Contact Us page for additional information. Broadridge, a global Fintech leader with $5 billion in revenues, provides the critical infrastructure that powers investing, corporate governance and communications to enable better financial lives. Headquartered inPittsburgh, PA, Broadridge Fi360 Solutions is the home of the Accredited Investment Fiduciary (AIF) Designation, the Fiduciary Focus Toolkit, CEFEX and the Fi360 Fiduciary Score. Were thrilled to bring PRIs expertise to our client base and to continue helping advisors simplify and implement fiduciary processes., Were excited to work with Broadridge Fi360 Solutions to deliver services that address the technical and evolving regulatory environment, said Jason C. Roberts, Chief Executive Officer at Pension Resource Institute and Retirement Law Group. 447 0 obj <>/Encrypt 410 0 R/Filter/FlateDecode/ID[<62444F9460681747917B3287D79C6A0C>]/Index[409 76]/Info 408 0 R/Length 126/Prev 167174/Root 411 0 R/Size 485/Type/XRef/W[1 3 1]>>stream endstream endobj 424 0 obj <>/Subtype/Form/Type/XObject>>stream Y "5o2RcXXa^~hC }/!dOX@Vut*[YQUb dEx Its important that advisors and brokers understand this evolving issue and take the necessary steps to re-evaluate their business models and compensation structures in anticipation of any regulatory changes.. 0000027546 00000 n Access the latest news, analysis and trends impacting your business.

endstream endobj 416 0 obj <>/Subtype/Form/Type/XObject>>stream For more information about Matrix, please visit matrix.broadridge.com. 0000008712 00000 n E5WxkC'&H UR qIJ21u, *5v!QBqn{? C|#8.0(xUYB endstream endobj 410 0 obj <>>>/Filter/Standard/Length 128/O(@? Dash. endstream endobj 421 0 obj <>/Subtype/Form/Type/XObject>>stream We deliver technology-driven solutions that drive business transformation for banks, broker-dealers, asset and wealth managers and public companies. 0000022253 00000 n Access the latest news, analysis and trends impacting your business. Broadridge, a global Fintech leader with $5 billion in revenues, provides the critical infrastructure that powers investing, corporate governance and communications to enable better financial lives. endstream endobj 420 0 obj <>/Subtype/Form/Type/XObject>>stream The guide outlines the rules today, what is being proposed, the impact of the proposed changes on advisors and the steps advisors can take today in anticipation of the new rules. 5-l6|y+WxMf~+ hbbR``b`` = endstream endobj 46 0 obj <>/Metadata 34 0 R/Pages 33 0 R/StructTreeRoot 36 0 R/Type/Catalog/ViewerPreferences<>>> endobj 47 0 obj <>/ExtGState<>/Font<>/ProcSet[/PDF/Text]/Properties<>>>/Rotate 0/StructParents 0/TrimBox[0.0 0.0 612.0 792.0]/Type/Page>> endobj 48 0 obj [/Separation/BR#20green#20#28583#20C#29/DeviceCMYK<>] endobj 49 0 obj <> endobj 50 0 obj <>stream Our representatives and specialists are ready with the solutions you need to advance your business.

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Broadridge Fi360s deep knowledge of the fiduciary advisor landscape with 20 plus years experience and superior technology resources, combined with our intellectual property and focus on ERISA legal and compliance issues, enables us to bring actionable and scalable solutions to serve our respective clients.. 0000024725 00000 n The enhanced capability supports advisors with PTE 2020-02 requirements that take effect December 20, 2021, as well as ongoing IRA rollover and related compliance needs. 0000059451 00000 n

0000004895 00000 n endstream endobj 424 0 obj <>/Subtype/Form/Type/XObject>>stream J&XNyf 0000019422 00000 n Integrated Retirement is an independent, privately held corporation with deep retirement plan expertise and industry insights and has a proven track record of helping elite financial organizations achieve retirement plan mastery across all sales, marketing, service and support disciplines. 0000016994 00000 n 0000002317 00000 n 0000001629 00000 n Learn more atwww.Fi360.com. We deliver technology-driven solutions that drive digital transformation for our clients and help them get ahead of todays challenges to capitalize on whats next. endstream endobj 415 0 obj <>/Subtype/Form/Type/XObject>>stream endstream endobj 421 0 obj <>/Subtype/Form/Type/XObject>>stream endstream endobj 415 0 obj <>/Subtype/Form/Type/XObject>>stream 45 0 obj <> endobj xref 45 37 0000000016 00000 n endstream endobj 416 0 obj <>/Subtype/Form/Type/XObject>>stream s#B* |xk@ w h}CI]m v 0000005090 00000 n trailer <<5A7C64864A5F4EB59F07B176C5F86383>]/Prev 110104/XRefStm 1317>> startxref 0 %%EOF 81 0 obj <>stream For more information about us and what we can do for you, please visitwww.broadridge.com. LAKE SUCCESS, N.Y., Oct. 1, 2013 The Department of Labors (DOL) proposed changes to the fiduciary definition regulations have caused many advisors to re-examine their business models and analyze whether they are a fiduciary to retirement plans. -| ~ej\tu^&.z-t"A9o-vq]s* To access a complimentary copy of the white paper, visit matrix.broadridge.com. ig{P`Mx.!O"9VRt:3M1 " 0000012479 00000 n hbbd```b``"`2L~H'G$XIf2`;XDLZH``wFH&z&kii H2U@#X%"30` ^! Expert solutions for financial services for over five decades, Streamline shareholder communications and management, Improve the member and patient experience across the wellness journey, Attract, engage and retain customers by creating dynamic experiences, Deliver exceptional experiences across communication channels, Transform your business with communications, technology, data and analytics solutions, Providing you with actionable insight and proven execution. [l7LYYGJsEY)/P -1052/R 4/StmF/StdCF/StrF/StdCF/U(v&FnpKk )/V 4>> endobj 411 0 obj <>/Metadata 51 0 R/PageLayout/OneColumn/Pages 407 0 R/StructTreeRoot 87 0 R/Type/Catalog>> endobj 412 0 obj <>/Font<>/ProcSet[/PDF/Text]>>/Rotate 0/StructParents 0/Tabs/S/Type/Page>> endobj 413 0 obj <>/Subtype/Form/Type/XObject>>stream Our technology and operations platforms underpin the daily trading of more than U.S. $9 trillion of equities, fixed income and other securities globally. Matrix serves more than 400 financial institutions with over $300 billion in customer assets processed through its trading platform. endstream endobj 414 0 obj <>/Subtype/Form/Type/XObject>>stream endstream endobj 419 0 obj <>/Subtype/Form/Type/XObject>>stream Our representatives and specialists are ready with the solutions you need to advance your business. The enforcement date of December 20, 2021 and associated requirements are creating meaningful challenges for advisors and home offices. A certified Great Place to Work, Broadridge is part of the S&P 500 Index, employing over 14,000 associates in 21 countries. UR qIJ21u. To assist advisors, MG Trust, a Matrix affiliate, offers an Omnibus IRA service that captures assets flowing out of qualified plans due to retirement, participant termination, or plan termination, as well as serving as a vehicle to support payroll deduction IRA plans.

Fi360 was acquired by Broadridge Financial Solutions, Inc. (NYSE:BR), a global Fintech leader and part of the S&P 500 Index, in 2019. 0000009600 00000 n One of our sales representatives will email you about your submission. Matrixs practice guide offers a three-step framework to help advisors understand this important issue: While we dont know what the proposed duciary denition regulations will look like, its important that advisors and brokers take into consideration the potential impact on their future business strategies and relationships with IRAs when the rules are released. E5WxkC'&H One of our sales representatives will contact you soon. We deliver technology-driven solutions that drive digital transformation for our clients and help them get ahead of todays challenges to capitalize on whats next. Broadridges infrastructure serves as a global communications hub enabling corporate governance by linking thousands of public companies and mutual funds to tens of millions of individual and institutional investors around the world. 0000015002 00000 n 2022 Broadridge Financial Solutions, Inc. , Consumer Preference and Profile Management, Global Tax Reclaim and State Tax Reporting, Managed Services, Hosting and Integration, Performance Dashboards and Operational Reports, Drive profitability with automated revenue and expense management, Enhance and simplify portfolio management, Simplify regulatory and compliance reporting, Maximize participant and plan sponsor engagement, Manage risk and optimize operational efficiency, Adapt to growing investment complexity and regulatory burden, Support operational control and scalability, Optimize operating model with financial services business process outsourcing, Streamline trade support, governance and compliance services, Enhance accuracy and visibility across the entire data life cycle, Reach customers across print and digital channels, Measure the impact of your communications, Deliver relevant, personalized digital and print communications, Gain a single view of customer identities and preferences, Transform your print and digital communications, Tackle your Reg BI obligations with confidence, Enhance the client experience with dynamic advisor tools, Advance control, risk and support services, Optimize your operating model with business process outsourcing, Empower your transformation with confidence, Streamline communications to drive down cost, Streamline disclosure and stay in compliance, Maximize ESG impact and bolster long-term sustainability, Increase efficiencies in managing cash and risk, Streamline proxy and annual meeting services for your clients, Take companies public with single-source simplicity, Simplify capital markets and annual compliance disclosure, Enhanced shareholder engagement for alternative investments, Enhance marketing and sales, empower agents and brokers, and engage members, Onboard members with personalized documents and experiences, including ID cards and welcome kits, Make an impact with your correspondence, statements, bills and wellness programs, Optimize and customize patient communications, including statements, Explanation of Payment (EOP) and claims, For Fund Administrators and Prime Brokers, Compliance and Regulatory Accounting Process Outsourcing, Composition and Publishing for Legal Documents, Data Control Business Process Outsourcing, Expense Management business process outsourcing, FIX Technology and Client Connectivity Services, Notice and Access & Inventory Management and Fulfillment, Post Trade Processing Business Process Outsourcing, Post Trade Processing Business Process Outsourcing for EMEA and APAC, Reference Data Business Process Outsourcing, Regulatory Trade and Transaction Reporting, Revport custodian bank billing management, Communications and Customer Experience Consulting, Environmental, Social and Governance (ESG). 0000001317 00000 n endstream endobj 423 0 obj <>/Subtype/Form/Type/XObject>>stream Z1@D|w'%~D#XSCMx3LF# endstream endobj 418 0 obj <>/Subtype/Form/Type/XObject>>stream 0000019803 00000 n endstream endobj 414 0 obj <>/Subtype/Form/Type/XObject>>stream J&XNyf Broadridge Financial Solutions (NYSE: BR), a global Fintech leader with $5 billion in revenues, provides the critical infrastructure that powers investing, corporate governance and communications to enable better financial lives. 0000058900 00000 n 0 Expert solutions for financial services for over five decades, Streamline shareholder communications and management, Improve the member and patient experience across the wellness journey, Attract, engage and retain customers by creating dynamic experiences, Deliver exceptional experiences across communication channels, Transform your business with communications, technology, data and analytics solutions, Providing you with actionable insight and proven execution. To contact media relations, please email us at mediarelations@broadridge.com. Broadridge Fi360 Solutions provides fiduciary education, training and technology to help financial intermediaries use prudent fiduciary practices to profitably gather, grow and protect investors' assets. %PDF-1.6 % }HG%%0@0/6UE Hb2ma 0000008601 00000 n hznn{'aTw2oWb A4G endstream endobj 410 0 obj <>>>/Filter/Standard/Length 128/O(@? Matrix Financial Solutions, now part of Broadridge Financial Solutions, Inc., is a leading provider of TrueOpen retirement products and services for third party administrators, financial advisors, banks and other financial professionals. Your sales repsubmission has been received. Advisors can access PTE 2020-02-specific rollover analysis criteria, plan fee benchmarking data, attestations, and home office surveillance of rollover comparisons, improving workflows to better align with current and future compliance conditions. 0000066074 00000 n 0000001036 00000 n 0000059916 00000 n 484 0 obj <>stream }HG%%0@0/6UE Hb2ma endstream endobj 417 0 obj <>/Subtype/Form/Type/XObject>>stream Matrix Financial Solutions, Inc., a Broadridge Financial Solutions, Inc. (NYSE:BR) company, today released a practice guide, IRAs & the ERISA Fiduciary Rules: Updates and Best Practices for a Changing Regulatory Environment that addresses the potential impact of these changes. To contact media relations, please email us at mediarelations@broadridge.com. At Matrix, were working with advisors and brokers to help them stay ahead of the curve so that they are not only prepared, but are better able to help their clients make the right decisions when it comes to retirement planning, added Ms. 0000014885 00000 n endstream endobj 423 0 obj <>/Subtype/Form/Type/XObject>>stream Z1@D|w'%~D#XSCMx3LF# ;$mH&[d]q vg j-tKu73QID+(% ;DG1+>cP^(4@O]V8E/*5v!QBqn{? C|#8.0(xUYB HW% ( 0daAY'vq ?2@>cd]Iz/z?xv{o?0l_7o9Oy"{|^?v[wl-J[G9L{[/01Abuh[i.llOmW+L2G?^H vmKCag>'m#~M+q0)f07l{qOxa1]v> d+8F=!rmo~;FO/RWZ2v/P],5 r>p!D'=XxwgYs> `]XshX%+w%A'UZt~#fKt2DP`zqDN]**i+,Rd. 0000009055 00000 n The practice guide was co-authored by Cindy Dash, COO, Matrix Financial Solutions, Inc., and Pamela ORourke, an ERISA attorney for Integrated Retirement. One of our sales representatives will email you about your submission. 0000002430 00000 n View our Contact Us page for additional information. One of our sales representatives will contact you soon.

Want to speak with a sales representative? %PDF-1.4 % The proposed regulations may result in more broker-dealers and RIAs being classified as an ERISA duciary when they provide services to IRAs, said Ms. ig{P`Mx.!O"9VRt:3M1 " However, in recent months the fiduciary conversation has shifted towards the potential impact these anticipated regulations could have on Individual Retirement Accounts (IRAs). hb``d``ua`a`zX gZ8fI<1ik ((llld4 t `U~>36^f9 n1\x%-=miKVW%Q``\H3Q\Tq7Da@ + endstream endobj 80 0 obj <>/Filter/FlateDecode/Index[36 9]/Length 20/Size 45/Type/XRef/W[1 1 1]>>stream This solution will enable advisors to continue to manage their accounts, and may also help to reduce unnecessary rollover fees. 0000058167 00000 n 5"j-1dIj6V);mS Some industry commentators and members of Congress have argued that applying the duciary rules to IRA activity without sufcient prohibited transaction exemptions could have a chilling effect on an individuals access to IRA nancial advice. [l7LYYGJsEY)/P -1052/R 4/StmF/StdCF/StrF/StdCF/U(v&FnpKk )/V 4>> endobj 411 0 obj <>/Metadata 51 0 R/PageLayout/OneColumn/Pages 407 0 R/StructTreeRoot 87 0 R/Type/Catalog>> endobj 412 0 obj <>/Font<>/ProcSet[/PDF/Text]>>/Rotate 0/StructParents 0/Tabs/S/Type/Page>> endobj 413 0 obj <>/Subtype/Form/Type/XObject>>stream Want to speak with a sales representative? iC``1C;GTvY 0000008187 00000 n iC``1C;GTvY Y "5o2RcXXa^~hC }/!dOX@Vut*[YQUb dEx endstream endobj 425 0 obj <>/Subtype/Form/Type/XObject>>stream