Regulation Best Interest Consulting and Compliance

Leverage practical know-how and a full range of solutions to check all the boxes for your Reg BI requirements. With unique industry perspective, hands-on expertise and powerful, modular solutions, Broadridge makes it easy to step up to Form CRS and Standard of Care obligations.

Compliance for today and tomorrow Form CRS distribution may mark the first tangible measure of successful Reg BI compliance, but it is just the start. Harness the tools to create, trigger and manage ongoing disclosures. Discover how you can mitigate conflicts of interest, streamline compensation management and demonstrate compliance at every turn. End-to-end or a la carte, Broadridge Smart Solutions for Reg BI adds efficiencies, increases visibility and helps to provide a compliant audit trail.

• Form CRS
• Duty of Care
• Compliance
• Conflict of Interest
• Disclosure
• Advisor Training

Features

• Automated Compliance: Streamlines adherence to Reg BI requirements.
• Client Disclosure Management: Ensures clear and accurate client communications.
• Risk Assessment Tools: Identifies and mitigates potential compliance risks.
• Data Integration: Consolidates data for comprehensive compliance reporting.
• Training and Education: Provides resources to keep advisors informed and compliant.