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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To the extent that your investment adviser firm currently has an active Annual Compliance Program (“ACP”) engagement with RIA Compliance Consultants, Inc., this sample document may be available as part of that engagement depending upon your firm’s ACP package (e.g., Bronze, Silver, Gold, Platinum and Titanium). Please refer to the “Description” tab within the product to determine whether the sample document is included as part of your firm’s ACP package. If included and your firm (via the individual making payments in our system) has designated you as a team member in our Knowledge Base, please log into our Knowledge Base to download the sample document. (For detailed instructions on how to access the Knowledge Base, please refer to the following webpage: Knowledge Base Instructions.) If not included in your ACP package, you can make an a la carte purchase of the sample document through this product in our online store.
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