DOL Fiduciary Rule Compliance Management

Achieve DOL Fiduciary Compliance without Complexity

AKA’s DOL Fiduciary Rule Compliance Management solution helps financial advisors meet this important regulatory requirement—but without complicating business or breaking the bank. Best of all, compliance simply blends into daily activities, and advisors enjoy the added benefit of strengthening relationships with their clients.

By providing a 360-degree view of clients, along with detailed tracking of events, interactions, and more, advisors will ensure their clients’ best interest while improving their ability to provide proactive service. With a better understanding of clients, advisors can find and address issues quickly while offering more opportunities to their clients.

The back office is also able to contribute to stronger client relationships by processing reviews and approvals and creating contracts faster.

DOL Fiduciary Rule Compliance Management was designed for:

  • Microsoft Dynamics 365
  • Microsoft Dynamics CRM Online
  • Microsoft Dynamics CRM On-premises

For Advisors:

  • Capture and track any event that qualifies as a recommendation
  • Route recommendations to the back office for review and approval
  • Capture and report on key client, account, product, and event types quickly
  • Capture research and maintain a product library
  • Work from anywhere with an intuitive, mobile-enabled interface

For the Back Office:

  • Create and update BICs (Best Interest Contracts) and maintain them in a central location
  • Monitor and review recommendations through convenient dashboards
  • Produce reports for internal management and external authorities

DOL Fiduciary Rule Compliance Management is designed for Microsoft Dynamics 365, Dynamics CRM Online and Dynamics CRM On Premises, which presents more benefits to firms using Microsoft solutions.

  • Seamless integration with existing Microsoft Dynamics CRM systems reduces the cost of implementation—and the cost of compliance.
  • Seamless integration with Dynamics CRM also means less time to implement.
  • Productivity is not impacted because the system is in place, with no training required.

Watch the video about the solution

DOL Fiduciary Rule Compliance Management

Download the solution brief (PDF)

DOL Fiduciary Rule Compliance Management

Watch our On-Demand Webcast

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