Aggregate the necessary information from all your sources and applications, including: “The challenges related to implementation of the rule requirements present profound implications for technology.” 5 Going forward, firms may need to build systems able to “gather and manage much more data up front.” That means “a lot more technology [aimed at] improving point-of-sale and supervisory systems to reduce regulatory risk.” April 10, 2017: Compliance with Investment Advice Standards required 3 of respondents are still developing an understanding of the Rule 4 78% in assets in the US retirement plan system could be impacted by the Final Rule 1 $18.9 Trillion Expected cost to the securities industry due to the DOL Fiduciary Rule 2 $11 Billion 85% of respondents have moved from preparation to implementation activities 4 of investment professionals believe their firms will look to new technology to deal with the new regulation 6 A mere 8% Email us for a free assessment of your organization’s readiness to meet the new rule: [email protected] Go forward with EAI. The new DOL rule is approaching. Be a step ahead. The new DOL Fiduciary Rule is expected to have major impacts on Financial and Investment Advisors Action needs to be taken soon, but many advisors are not prepared Investment in technology will be crucial Today, EAI has the technology you need to meet the Fiduciary Rule January 1, 2018: Full compliance required 3 Transaction information from multiple sources (NFS, DST, DAZL, DTCC, Pershing) Account and customer information from onboarding software Rep information and credentials from FINRA – Thomas Ward, EY 5 1 Sutherland, “The Final Rule: DOL’s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions,” April 12, 2016 2 Bruce Kelly, “DOL fiduciary rule to cost the securities industry $11B by 2020: study,” September 21, 2016. 3 Deloitte Perspectives, “Department of Labor releases final fiduciary rule,” 4 Deloitte Perspectives, “Department of Labor fiduciary rule: survey results on industry preparedness” 5 Forbes Insights, “The Rules are Here: Time to Act on the Department of Labor’s New Fiduciary Standards” 6 Investment News, “DOL Fiduciary will lead to increased spending on technology: survey,” June 20, 2016 ©2016 EAI Information Systems. All rights reserved.

DOL Fiduciary Rule Infographic

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Aggregate the necessary information from all your sources and applications, including:

“The challenges related to implementation of the rule requirements present profound

implications for technology.”5

Going forward, firms may need to build systems able to “gather and manage much more data up front.” That means “a lot more technology [aimed at] improving point-of-sale and supervisory systems to reduce regulatory risk.”

April 10, 2017: Compliance with Investment Advice

Standards required3

of respondents are still developing an understanding of

the Rule4

78%

in assets in the US retirement plan system could be impacted by

the Final Rule1

$18.9Trillion

Expected cost to the securities industry due to the DOL Fiduciary Rule2

$11Billion

85%

of respondents have moved from preparation to

implementation activities4

of investment professionals believe their firms will look to new technology to deal with the new regulation6

A mere 8%

Email us for a free assessment of your organization’s readiness to meet the new rule:

[email protected]

Go forward with EAI.

The new DOL rule is approaching.Be a step ahead.

The new DOL Fiduciary Rule is expected to have major impacts on Financial and

Investment Advisors

Action needs to be taken soon, but many advisors are not prepared

Investment in technology will be crucial

Today, EAI has the technology you need to meet the Fiduciary Rule

January 1, 2018: Full compliance required3

Transaction information from multiple sources (NFS, DST, DAZL, DTCC, Pershing)

Account and customer information from onboarding software

Rep information and credentials from FINRA

– Thomas Ward, EY5

1 Sutherland, “The Final Rule: DOL’s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions,” April 12, 2016

2 Bruce Kelly, “DOL fiduciary rule to cost the securities industry $11B by 2020: study,” September 21, 2016.3 Deloitte Perspectives, “Department of Labor releases final fiduciary rule,”4 Deloitte Perspectives, “Department of Labor fiduciary rule: survey results on industry preparedness” 5 Forbes Insights, “The Rules are Here: Time to Act on the Department of Labor’s New Fiduciary Standards”6 Investment News, “DOL Fiduciary will lead to increased spending on technology: survey,” June 20, 2016