Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library The Quarterly Checklist allows the

The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis

Members also downloaded Broker-Dealer Notification of Accounts at Other Broker-Dealers and Financial Institutions and Investment Adviser Disclosure of Accounts at Broker-Dealers and Other Financial Institutions

Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Audit Review Template

and FINRA Rule 3110 (Supervision)

Members also downloaded Due Diligence Checklist for Third-Party Service Providers

Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library The Quarterly Checklist allows theThe Rollover Due Diligence Form for DOL PTE 2020 02 serves as an important part of a firms overall compliance with the Department of Labors (DOLs) adopted Prohibited Transaction Exemption 2020 02 (PTE 2020 02) where broker dealers and investment advisers making a rollover recommendation will need to document the reasons why the rollover is in the retirement investors best interest. Firms should make diligent and prudent efforts to obtain information