
By Ed Wegener
Subscribe to our original industry insightsYour firm has developed procedures for complying with the DOL’s Prohibited Transaction Exemption (PTE 2020-02) and its rollover requirements – now what?
It is time to start thinking about the annual retrospective review requirement. To leverage the exemption that allows your firm to provide fiduciary investment advice to retirement investors, your firm must meet specific requirements, including conducting an annual retrospective review that is certified to by a member of senior management. Here are some keys to an effective retrospective review.
Oyster Consulting’s experts have the knowledge and experience necessary to efficiently conduct your DOL PTE required assessment, testing and documentation. Our industry professionals can also help you prepare your procedures and assess available tools and vendors. Leverage our resources to ensure your review and compliance program will stand up to regulatory scrutiny.
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