Services

DOL “Fiduciary Rule” Consulting

DOL “Fiduciary Rule” Services offered include:

  • DOL “Fiduciary Rule” Consulting
    • Specific impact of the rule on your business
    • Competition analysis and how your products fit in the market
    • Development of implementation strategy
  • Training
    • DOL “fiduciary” training for producers, in-house marketers, management, and Board of Directors
  • Product Drafting/Filing
    • Re-tooling existing products and drafting new products to comply and compete under the new Rule
    • Putting First Consulting’s filing expertise to work for you to get products to market
  • Policies and Procedures
    • Revising and creating new policies and procedures (both internal and external)
  • Operational Compliance
    • Risk management assessments
    • Revisions to current infrastructure with least amount of interference
    • Help identifying and creating new “BICE Officer”
  • New Compliance Document Drafting
    • Assistance drafting new point-of-sale forms and disclosures
    • Assistance drafting and revising suitability/compliance/agent guides