Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library Upon completion and signing

Upon completion and signing

Members also downloaded Due Diligence Checklist for Third-Party Service Providers

Total Page Count/Format 9/

and FINRA Rule 3110 (Supervision)

The list also provides a detailed description of each record along with the corresponding retention requirements and specific rule reference

Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library Upon completion and signingThe Rollover Due Diligence Form for DOL PTE 2020 02 serves as an important part of a firms overall compliance with the Department of Labors (DOLs) adopted Prohibited Transaction Exemption 2020 02 (PTE 2020 02) where broker dealers and investment advisers making a rollover recommendation will need to document the reasons why the rollover is in the retirement investors best interest. Firms should make diligent and prudent efforts to obtain information