Compliance checklists and guides
3 articles
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.
Handling rollover analysis can be both rewarding and daunting for financial advisors. We've learned over the years that some of the most common—and frustrating—errors are often preventable with the right process and technology in place.
Welcome to the Simple Advisor Tools blog, your resource for PTE 2020-02 compliance guidance, rollover analysis best practices, and financial advisor tools.
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