Category: Compliance
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Allocator Instructions for Sending RTQ
Allocator in Bulk – Email Delivery Step 1: Log into Orion and go to the Portfolio Audit App and review your Households. Ensure that all your clients have an email address in the “Email” column and that the name in the “Full Name” column is listed as you would like it to appear –…
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DOL- Conflict of Interest Rule- Final
The DOL Conflict of Interest Rule goes into effect June 30th, 2022, and impacts any advisor that deals with retirement plans, rollovers, and participant advice. The final rule is here: https://www.dol.gov/agencies/ebsa/laws-and-regulations/rules-and-regulations/completed-rulemaking/1210-AB32-2 These requirements are new, complex and burdensome. In some cases, you may be able to avoid some of the requirements of these new rules…
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Axxcess Allocator- Risk Survey Tracking
The Axxcess Allocator Risk Survey Tracking https://allocator.axxcessplatform.com/ Client risk tolerance scoring and tracking is easily accomplished on the Axxcess Allocator. As an IAR of an RIA, there are requirements the SEC sets out summarizing Regulation of Investment Advisors (https://www.sec.gov/about/offices/oia/oia_investman/rplaze-042012.pdf) and the Allocator helps you deal with both. Your client will receive a branded email…
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