Practical and Regulatory Risks Associated with Rollover "Education"
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CapitalROCK, LLC
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Practical and Regulatory Risks Associated with Rollover "Education"
CapitalROCK, LLC
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Technology/Software & Services
91
Artificial Intelligence & Machine Learning
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Show More (9)
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Customer Relationship Management (CRM)
5
Risk Analytics
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Risk Analytics
17
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2
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3
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Risk & Compliance
29
Operational Risk Management
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Anti-Money Laundering (AML)
10
Know Your Customer (KYC)
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Compliance Training
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Clearing & Settlement
46
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8
Netting
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8
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10
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4
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0
Asset Allocation
2
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1
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16
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0
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2
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Technology/Software & Services
63
Artificial Intelligence & Machine Learning
24
Software Development
10
Customer Relationship Management (CRM)
2
System Integration
4
Risk Analytics
12
Show More (8)
Cybersecurity Solutions
4
Portfolio Management Software
9
Compliance Software
17
IT Infrastructure
4
IT Support & Maintenance
2
Blockchain Technology
8
Data Management
12
Cloud Computing
11
Show Less (8)
Legal
97
Corporate Law
12
Dispute Resolution
6
Contract Drafting & Review
7
Intellectual Property
3
Litigation Support
18
Show More (4)
Legal Research
63
Regulatory Compliance
16
Mergers & Acquisitions
19
Securities Law
25
Show Less (4)
Asset Management Solutions
12
Portfolio Management
2
Custodial Services
4
Performance Analytics
3
Trading Platforms
2
Risk Management
1
Show More (4)
Asset Allocation
2
Fund Administration
1
Investment Strategies
3
Investment Research
2
Show Less (4)
Risk & Compliance
34
Fraud Detection
12
Operational Risk Management
18
Market Risk Management
9
Know Your Customer (KYC)
14
Compliance Training
15
Show More (3)
Cybersecurity
8
Anti-Money Laundering (AML)
12
Credit Risk Management
8
Show Less (3)
Professional Services
7
Business Process Management
4
Executive Coaching
2
Facilities Management
2
Outsourcing Services
2
Staffing & Recruiting
2
Show More (4)
Quality Assurance
1
Training & Development
1
Customer Support
1
Project Management
2
Show Less (4)
Accounting
8
Forensic Accounting
0
Accounting Software
0
Bookkeeping Services
0
Business Valuation
4
Payroll Services
0
Show More (4)
Tax Services
3
Financial Reporting
0
Auditing Services
2
Financial Planning
0
Show Less (4)
Consulting
33
Strategy Consulting
9
Human Resources Consulting
3
Business Process Optimization
22
Technology Consulting
10
Change Management
9
Show More (4)
Operations Consulting
9
Risk Management Consulting
7
Compliance Consulting
12
Financial Advisory
8
Show Less (4)
Insurance
5
Directors & Officers Liability Insurance
0
Life Insurance
1
Employee Benefits
0
Cyber Liability Insurance
0
Property & Casualty Insurance
0
Show More (4)
Risk Management Services
4
Health Insurance
0
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0
Business Interruption Insurance
0
Show Less (4)
Research
20
Company Profiles
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13
Qualitative Analysis
3
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2
Quantitative Analysis
1
Show More (2)
Financial Research
9
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1
Show Less (2)
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2
Advertising
0
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0
Corporate Communications
1
Investor Relations
1
Branding Services
1
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0
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0
Show Less (4)
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22
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Media & Publications
1
Non-Profit Organizations
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Educational Institutions
1
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2
International Organizations
10
Government Agencies
5
Show Less (4)
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15
Post-Trade Processing
5
Reconciliation
5
Trade Matching
3
Central Securities Depositories
1
Collateral Management
4
Show More (4)
Settlement Services
7
Derivatives Clearing
3
Securities Lending
8
Netting Services
3
Show Less (4)
Wealth Management Solutions
19
Estate Planning
1
Tax Planning
0
Wealth Transfer Strategies
12
Philanthropic Advisory
1
Investment Management
5
Show More (3)
Trust Services
1
Retirement Planning
2
Family Office Services
0
Show Less (3)
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Two distinct rollover business models have emerged in response to the new rollover restrictions under Prohibited Transaction Exemption 2020-02 that went into full effect on July 1, 2022. Under the “Rollover Advice Model,” firms acknowledge their fiduciary status and comply with PTE 2020-02 when providing rollover advice. But under the “Rollover Education Model,” rollover guidance is limited to non-fiduciary education only. Certain firms feel that the Rollover Education Model has fewer compliance burdens and risks, since it does not require compliance with PTE 2020-02. However, there may be significant practical difficulties associated with this model. Read this White Paper to learn more about these difficulties and how RightBRIDGE can help.
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