PTE 2020-02

Provide best interest rollover advice

The Department of Labor's (DOL) PTE 2020-02 expands the definition of fiduciary advice when recommending rollovers, making documentation and client disclosure an explicit requirement of its proposed prohibited transaction exemption.

Key requirements of PTE 2020-02

We help Broker-Dealers and RIAs meet the PTE 2020-02 requirements.

An End-to-End Workflow | Compare and Analyze Rollover Options | Cost Look-Up | Best Interest Recommendations | Documentation & Disclosure

Make compliant rollover recommendations

RolloverAnalyzer helps make compliant recommendations in a single workflow by:

  • Comparing rollover options across Client Fit, Service Level and Costs
  • Integrating Plan 5500 and benchmark data
  • Auto-generating client reports or “reasons why” to support the recommendation
  • Documenting and disclosing the recommendation to the client

Partnerships with industry leaders

Morningstar Logo
Beacon Strategies LLC Logo
Scopus Financial Group Logo

“We recognize that meeting the PTE 2020-02 requirements is most efficiently accomplished by utilizing compliance technology – there are far too many factors for an advisor to consider. InvestorCOM’s RolloverAnalyzer checks all the boxes within a single workflow and does it simply and intuitively.”

 Ryan Carlson AISG

Ryan Carlson
Principal, American Independent Securities Group (AISG)

“We researched all of the rollover solutions that are available in the marketplace and RolloverAnalyzer was head and shoulders above the rest.”

Rick Keast RedHawk Wealth Advisors

Rick Keast
President and Chief Compliance Officer at Redhawk Wealth Advisors

“75% of firms will use technology in order to meet the PTE 2020-02 regulatory requirements.”

Insight from InvestorCOM Roundtable Event “Preparing for PTE 2020-02”

SEC and DOL: Rollover Requirements

Eversheds Sutherland discusses the DOL and SEC's expectations, how to make compliant rollover recommendations, and more.

Watch Webinar

Reg BI, Fiduciary Rule 3.0 and the Emergence of Pre-trade Compliance

This white paper explores the new pre-trade requirements and their impact on wealth management firms.

Read White Paper

Reg BI and PTE 2020-02 Compliance Priorities

Industry experts discuss the regulatory challenges and opportunities presented by Reg BI and PTE 2020-02.

Watch Webinar