Form ADV – Sample Language – Rollover Recommendation

$150.00

This Form ADV – Sample Language – Rollover Recommendation is sample Form ADV Part 2A language disclosing an investment adviser firm’s fiduciary status and conflict of interest when recommending investments/proceeds be rolled over from a retirement plan account to an IRA account.

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Description

This Form ADV – Sample Language – Rollover Recommendation is sample Form ADV Part 2A language disclosing an investment adviser firm’s fiduciary status and conflict of interest when recommending investments/proceeds be rolled over from a retirement plan account to an IRA account.

RIA Compliance Consultants, Inc. (“RCC”) does not provide advice regarding compliance with ERISA, and this sample language is not a substitute for consulting with an ERISA attorney about PTE 2020-02.

Included with Bronze, Silver, Gold and Platinum Annual Packages. Initially posted in April 2021.

Related Resources:

DOL Clarifies Fiduciary Advice Exemption for IRA Rollovers – May 9, 2021

Updated Sample WSP/CoE Section – IRA Rollover Recommendations – May 5, 2021

Updated Sample Form – Suitability – Retirement Plan Rollover – Client Acknowledgement – May 5, 2021

OMB Approves Request for DoL Fiduciary Rule Delay – August 31, 2017

DoL Proposes Fiduciary Rule Delay – August 11, 2017

Department of Labor Fiduciary Rule – August FAQs – August 09, 2017

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This sample document is merely an example for general reference and educational purposes.  RIA Compliance Consultants, Inc. is providing this sample document to the purchaser on an “as is” basis with no warranty or guaranty whatsoever.

This sample document should be considered a starting point, and purchaser should not treat this sample document as a final document ready for use.  The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser.

This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online store as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.

This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.

Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued.  RIA Compliance Consultants, Inc. will not be providing any subsequent updates of this sample documents to the purchaser.  Likewise, RIA Compliance Consultants, Inc. will not be monitoring and reporting to the purchaser any issues related to the use of this sample document.

Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser or review any applicable rules before using this document.

This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely purchasing or utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment adviser laws and rules.

Purchaser is not authorized to re-sell this sample document nor license the use of this sample document to a third-party.

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