Tag: PTE 2020-02

InvestorCOM Launches Rollover Application for Meeting Reg BI and PTE 2020-02 Regulations

News

RolloverAnalyzer™ enables financial professionals to consistently document and disclose rollover recommendations. Toronto, ON, August 2, 2021 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today launched RolloverAnalyzer™ a cloud-based application for rollovers to help financial professionals comply with the SEC’s Reg BI and the Department of […]

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SEC and DOL: Rollover Requirements

Events

On-Demand Webinar The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors. The DOL’s PTE 2020-02 expands the definition of fiduciary advice when recommending rollovers. While the SEC encourages documentation, the DOL makes documentation an explicit requirement of its proposed prohibited transaction exemption for fiduciary investment advice. Get ready […]

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