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

Upon completion and signing

The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations

The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis

and FINRA Rule 3110 (Supervision)

and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63

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