RIA Compliance Consultants has released a new sample form, Annual Review – Certification of Annual Retrospective Review of IRA Rollover.
This is a sample investment adviser form which is intended to document a senior executive’s certification of annual retrospective review of IRA rollovers in accordance with the U.S. Department of Labor’s Prohibited Transaction Exemption (“PTE”) 2020-02.
Included with Platinum & Titanium Packages through the Knowledge Base.
Available a la carte for $195: Annual Review – Certification of Annual Retrospective Review of IRA Rollover
Related Resources
RIA Compliance Consultants has developed and updated several resources for investment adviser firms to use when developing policies and procedures regarding IRA rollovers:
- Form ADV – Sample Language – Rollover Recommendation
- WSP/CoE Section Update – IRA Rollover Recommendations
- Suitability – Retirement Plan Rollover – Client Acknowledgement
- Conflicts of Interest – Checklist
- Webinar – IRA Rollovers Under U.S. Department of Labor’s PTE 2020-02
- RIA Express – Compliance Review
Posted by RCC
Labels: Annual Review, DOL, ERISA, IRA Rollover, Sample Forms
Tagged: Annual Review, DOL, ERISA, IRA Rollover
