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
CapitalROCK, LLC
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Expertise *
Accounting
112
Accounting Software
2
Auditing
20
Bookkeeping
0
Business Valuation
52
Business Valuation
52
Show More (5)
Financial Planning
0
Financial Reporting
29
Forensic Accounting
0
Payroll
9
Tax
37
Show Less (5)
Asset Management Solutions
101
Asset Allocation
2
Custodial
0
Fund Administration
10
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16
Investment Research
13
Show More (5)
Investment Strategies
25
Performance Analytics
0
Portfolio Management
6
Risk Management
5
Trading Platforms
46
Show Less (5)
Clearing & Settlement
100
Central Securities Depositories
0
Collateral Management
5
Derivatives Clearing
0
Netting
0
Post-Trade Processing
16
Show More (5)
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0
Securities Lending
15
Securities Lending
15
Settlement
81
Trade Matching
7
Show Less (5)
Communications & Marketing
45
Advertising
6
Advertising
6
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0
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12
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9
Show More (5)
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5
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1
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5
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0
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249
Business Process Optimization
79
Business Process Optimization
79
Change Management
16
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10
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10
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628
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431
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39
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9
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303
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181
Anti-Money Laundering (AML)
80
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9
Compliance Training
11
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0
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45
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51
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42
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192
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92
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16
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22
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0
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1
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15
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6
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0
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2
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16
Show Less (9)
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22
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0
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3
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0
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0
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0
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15
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Accounting
9
Accounting Software
0
Auditing Services
1
Bookkeeping Services
0
Business Valuation
5
Financial Planning
0
Show More (4)
Financial Reporting
0
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0
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0
Tax Services
4
Show Less (4)
Asset Management Solutions
9
Asset Allocation
2
Custodial Services
3
Fund Administration
1
Investment Research
3
Investment Strategies
1
Show More (4)
Performance Analytics
3
Portfolio Management
1
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1
Trading Platforms
2
Show Less (4)
Clearing & Settlement
14
Central Securities Depositories
1
Collateral Management
3
Derivatives Clearing
1
Netting Services
1
Post-Trade Processing
4
Show More (4)
Reconciliation
4
Securities Lending
7
Settlement Services
6
Trade Matching
2
Show Less (4)
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1
Advertising
0
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0
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0
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0
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0
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1
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0
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0
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0
Show Less (4)
Consulting
28
Business Process Optimization
16
Change Management
4
Compliance Consulting
8
Financial Advisory
4
Human Resources Consulting
1
Show More (4)
Operations Consulting
2
Risk Management Consulting
2
Strategy Consulting
3
Technology Consulting
5
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Insurance
5
Business Interruption Insurance
0
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4
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98
Contract Drafting & Review
3
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9
Dispute Resolution
3
Intellectual Property
1
Legal Research
65
Show More (4)
Litigation Support
16
Mergers & Acquisitions
20
Regulatory Compliance
10
Securities Law
23
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21
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2
Educational Institutions
1
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3
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4
Industry Associations
0
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International Organizations
9
Media & Publications
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Regulatory Bodies
1
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Professional Services
3
Business Process Management
1
Customer Support
0
Executive Coaching
0
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1
Outsourcing Services
1
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0
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1
Training & Development
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Company Profiles
0
Data Analytics
7
Economic Research
0
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6
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1
Show More (2)
Qualitative Analysis
1
Quantitative Analysis
0
Show Less (2)
Risk & Compliance
29
Anti-Money Laundering (AML)
7
Compliance Training
10
Credit Risk Management
5
Cybersecurity
4
Fraud Detection
7
Show More (3)
Know Your Customer (KYC)
9
Market Risk Management
3
Operational Risk Management
7
Show Less (3)
Technology/Software & Services
60
Artificial Intelligence & Machine Learning
20
Blockchain Technology
5
Cloud Computing
7
Compliance Software
13
Customer Relationship Management (CRM)
2
Show More (8)
Cybersecurity Solutions
2
Data Management
10
IT Infrastructure
2
IT Support & Maintenance
1
Portfolio Management Software
8
Risk Analytics
8
Software Development
8
System Integration
2
Show Less (8)
Wealth Management Solutions
19
Estate Planning
1
Family Office Services
0
Investment Management
4
Philanthropic Advisory
1
Retirement Planning
2
Show More (3)
Tax Planning
0
Trust Services
3
Wealth Transfer Strategies
11
Show Less (3)
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Author
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Back
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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