PTE 2020-02, IRA Rollovers and Beyond: How to Comply by the Deadline

Jason Roberts, CEO, Pension Resource Institute

Steve Niehoff, COO, Pension Resource Institute

John Faustino, Head of Fi360, Broadridge Fi360 Solutions

Dave Palascak, Software Product Development, Broadridge Fi360 Solutions

August 18, 2021

In response to the DOL’s PTE 2020-02, financial institutions and investment professionals will need to address new IRA rollover and account transfer requirements. Join us for this webinar to learn how to prepare your firm for the coming changes.*

At a high level, this webinar reviews PTE 2020-02 requirements for financial institutions and investment professionals, including:

  • How to analyze ERISA plan/IRA transfers, most commonly IRA rollovers, with a fiduciary standard of care
  • What factors are required to be considered and what additional factors may be considered relevant to the client’s best interest
  • Options on how to document and disclose details of each ERISA plan/IRA transfer analysis
  • Best practices on performing an annual retrospective review to detect violations and achieve compliance 

Download Webinar Slides


* Note: The Department of Labor recently extended the December 20, 2021 deadline referenced in this presentation. Learn more.