Rollovers from employer-sponsored plans are one of the greatest sources of dollars flowing into individual retirement accounts (IRAs), with more than half of retirees choosing an IRA rollover. According to […]
Read More
On-Demand Webinar With the Department of Labor’s PTE 2020-02 deadline approaching and the SEC’s Reg BI examinations ramping up, some firms may be tempted to address the regulatory requirements […]
Read More
The Department of Labor’s (DOL) Prohibited Transaction Exemption 2020-02 (PTE 2020-02) has been in effect since February 2021, allowing financial professionals to receive compensation for rollover recommendations providing that their […]
Read More
Wealth management firm using InvestorCOM to digitize the assessment of reasonably available alternative product recommendations and best interest rollover recommendations. Toronto, ON, April 21, 2022 – InvestorCOM, a leading […]
Read More
AISG will use InvestorCOM RolloverAnalyzer to make best interest rollover recommendations in compliance with PTE 2020-02. Toronto, ON, April 14, 2022 – InvestorCOM, a leading regulatory software provider to […]
Read More
Whether or not to roll over retirement savings from an employer-sponsored plan is one of the most important financial decisions an investor will make in his or her lifetime. When […]
Read More
Two major regulatory changes are currently bearing down on financial professionals and broker-dealers. Regulation Best Interest (Reg BI) came into effect on June 30, 2020, requiring that broker-dealers and financial […]
Read More
The window for firms to meet compliance for PTE 2020-02 is getting shorter. In October 2021, the DOL stated that all proper processes need to be in place by January […]
Read More
ON-DEMAND WEBINAR The SEC and DOL are continuing to focus on rollover recommendations and their impact on investors. The DOL’s Fiduciary Rule and PTE 2020-02 requirements, enforceable on December 21, […]
Read More
The PTE 2020-02 deadline is coming up, and firms must ensure that they have the proper processes by January 31 2022, and documentation and disclosure in place by June 30, […]
Read More
