This Annual Review – Certification of Annual Retrospective Review of IRA Rollover is a sample investment adviser form which is intended to document a senior executive’s certification of annual retrospective review of IRA rollovers in accordance with the U.S. Department of Labor’s Prohibited Transaction Exemption (“PTE”) 2020-02.
Included with Platinum & Titanium Packages through our Knowledge Base at Annual Review – Certification of Annual Retrospective Review of IRA Rollover.
Last updated in March 2023.
RIA Compliance Consultants has developed and updated several resources for investment adviser firms to use when developing policies and procedures regarding IRA rollovers:
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