Articles about DOL PTE 2020-02 compliance requirements, documentation standards, and best practices for financial advisors.
4 articles
Navigating retirement plan rollovers has always required rigorous documentation and an up-to-date understanding of regulatory trends. As we enter 2025, recent changes to Form 5500 reporting bring a new level of detail and responsibility for those of us who facilitate rollover analyses.
Choosing a rollover analysis software is both a compliance decision and a workflow investment, so it deserves careful scrutiny. Making the wrong pick could leave you with documentation gaps, problems at audit time, or surrounded by hidden costs.
PTE 2020-02 has become one of the most important compliance frameworks shaping how we, as financial advisors, document rollover recommendations for clients. Navigating the new fiduciary documentation requirements is not just about satisfying the Department of Labor.
Advisors everywhere know: rollover compliance in 2026 is no longer a nice-to-have, it's a non-negotiable. The DOL and SEC have raised the bar, and regulators are demanding clear, repeatable, audit-ready processes behind every recommendation.
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