Updated Sample WSP/CoE Section – IRA Rollover Recommendations

May 05, 2021


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RIA Compliance Consultants has recently updated its Sample WSP/CoE Section, IRA Rollover Recommendations.

Compliance Manual -Code of Ethics Written Supervisory Procedures

This is a sample written supervisory procedure intended for an investment adviser firm which may recommend to a client the rollover of retirement plan assets to individual retirement account (IRA).  This sample investment adviser compliance manual section for IRA rollovers has been updated in light of the U.S. Department of Labor’s FTE 2020-02.

This sample written supervisory procedure is available with Value, Bronze, Silver, Gold and Platinum Annual Compliance Program Package subscriptions. It can be purchased a la carte through the following link: https://www.ria-compliance-consultants.com/product/wsp-coe-section-update-ira-rollover-recommendations/.

Posted by Grant Parr
Labels: Code of Ethics