A one-pager we created for EAI to highlight their technologies that relate to the upcoming Department of Labor regulations.

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Prepare Your Organization for the
Fiduciary Rule
To receive a free assessment of
your readiness for these new
fiduciary rules, please email
Kwame.Essieh@eaiinfosys.com
or call
(877) 537-1507
New Department of Labor (DOL) fiduciary rules demand that commissions and
compliance systems interact. Broker/dealers with multiple data silos and applications
that don’t communicate will not meet the new DOL regulatory requirements by
April 2017.
Many financial institutions have Account Onboarding Systems that initiate all
transactions. However, they are often tied to transaction surveillance systems that
only receive a portion of their transactions. These systems completely miss manual
transactions for direct business, leaving the company extremely vulnerable to
regulatory violations.
Current systems weren’t designed for new fiduciary roles. In most cases, the
technological and regulatory puzzle pieces just don’t fit together closely enough to
satisfy the DOL rule.
That’s where EAI comes in.
The EAI Titanium application fills the gap, either acting as a bridge between your
current compliance and commission systems, or doing the job of both.
Titanium has the flexibility to aggregate the information from all of your sources and
applications, including:
• Account and customer information from onboarding software
• Rep information and credentials from FINRA
• Transaction information from multiple sources (NFS, DST, DAZL, DTCC, Pershing)
EAI even lets you track manual direct business.
This means every trade gets the same scrutiny as the next, regardless of its origin. This
drastically reduces the risk of bad trades resulting in regulatory migraines.
CONTACT US FOR A FREE ASSESSMENT OF YOUR
ORGANIZATION’S READINESS TO MEET THE NEW RULE.
Kwame Essieh
National Account Executive
877-537-1507 ext. 232
Kwame.Essieh@eaiinfosys.com
Phase 1 - Compliance with
Investment Advice Standards
Phase 1 Compliance RequiredFinal rule published
Rule becomes effective
Full compliance required
April 8, 2016
June7, 2016
April10, 2017 Jan. 1, 2018
Phase 2 - Compliance with
Exemption Requirements
Deloitte Perspectives, “Department of Labor releases final fiduciary rule,” April 6, 2016.
Timeline for the Implementation of the Department of Labor Conflict of Interest Rule