Delivering banks, broker-dealers and RIAs a configurable compliance framework, coupled with unlimited consulting, to implement and maintain profitable strategies for serving retirement investors.
The core of retirement compliance is finding and addressing conflicts in your business model. Using our innovative platform, PRI helps member firms identify:
The value your firm provides to is determined by the nature, scope and frequency of services. This is why PRI created easy-to-configure agreements with more than 20 available services to deliver to retirement plans and participants. We help firms get credit for the services their advisors are delivering, enabling them to earn and retain more business.
There is no limit to the number of agreements we can configure, allowing you to serve a wide range of plans without incurring additional cost.
Once the agreements are configured, we help our members develop:
Using our innovative platform, the process can take less than an hour. Our model forms are updated regularly based upon new rules, regulations and interpretations.
Customize your firm’s version of the platform to deliver targeted training and practice management resources to your advisors to help them serve clients in a more competitive and compliance fashion.
Grant access based on expertise:
Robust library of advisor & client-facing resources including:
Additionally, PRI will develop and deliver web-based custom training for member firms up to 2 times per year, at no additional cost.
With PRI team members at-the-ready to answer questions, we monitor changes in laws and regulations impacting your business, including DOL regulations and SEC Regulation Best Interest.
PRI complements these communications with unlimited consulting for compliance and strategic questions at no additional cost, enabling member firms to manage their risk and competitiveness without added expense.
For most firm, rollovers from qualified plans are an important part of the business. The SEC, DOL, and FINRA have identified rollover transactions as requiring scrutiny and they are stepping up enforcement and proposing new regulations.
Recently updated for DOL PTE 20-02, PRI offers a comprehensive suite of resources designed to promote compliance across regulators.