Compliance checklists and guides
25 articles
Advisors rigorously evaluate PTE 2020-02 documentation software in 2026 to streamline compliance, protect fiduciary duty, and save time with audit-ready tools.
Roth Catch-Up Contributions in 2026 demand robust audit-ready rollover documentation. Advisors gain efficiency, error reduction, and stronger compliance.
The blog explains how fiduciary advisors can use Form 5500 data to benchmark 401(k) fees in compliance with PTE 2020-02 requirements. It outlines a step-by-step process for comparing fees, services, and investment options to generate audit-ready, defensible rollover recommendations that reduce compl
This blog explains how to automate PTE 2020-02 disclosures for retirement rollovers to ensure DOL compliance with complete, audit‑ready documentation, including fiduciary acknowledgments, detailed fee comparisons, and a full disclosure checklist. It provides practical templates, step‑by‑step workflo
This blog explains how audit-ready rollover documentation platforms help advisors meet DOL’s PTE 2020-02 compliance by automating data integration, fee and service comparisons, and the generation of detailed audit trails. It outlines 12 essential questions to ask when selecting a platform, emphasizi
This blog explains how Simple Advisor Tools offers a streamlined, cost-effective alternative to the enterprise-heavy InvestorCOM for PTE 2020-02 compliant rollover documentation. It highlights key benefits such as rapid setup, automated audit-ready reporting, and significant cost and time savings fo
This blog explains how rollover analysis software—essential for meeting DOL’s PTE 2020-02 compliance—can benefit RIAs by reducing time and risk through automated, audit-ready processes. It highlights budget-friendly options, including plans as low as $149/year, and contrasts these with more expensiv
The blog outlines essential steps and documentation required for creating audit-ready rollover files under DOL's PTE 2020-02 rules. It provides a comprehensive checklist, best practices, and tips on leveraging automation tools to streamline compliance and build a robust audit trail that meets s
As regulatory scrutiny intensifies and expectations rise for clear, audit-ready documentation, financial advisors and compliance professionals are increasingly seeking rigorous, efficient solutions for PTE 2020-02 compliance.
When it comes to DOL audits, the reality is simple: your rollover documentation is either bulletproof, or it's a business risk. Advisors today operate in an environment where fiduciary duty and documentation go hand-in-hand.
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.
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.
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