Last week, we notified you that Warner Norcross + Judd LLP is now offering customized materials, for a flat-fee, to help investment advisors and broker-dealers document compliance with the "best interest" and "impartial conduct" standards of the Department of Labor (DOL) Fiduciary Rule when providing "rollover recommendations," including "pre-hire" rollover advice to clients.
Your customized materials will include:
- Educational materials for distribution to clients explaining their options with respect to their 401(k) plan account, such as leaving their money in their former employer’s plan, taking a rollover, etc., along with the pros and cons of each option;
- A fillable PDF checklist to document your compliance with the DOL Fiduciary Rule’s "best interest" and "impartial conduct" standards; and
- Client Rollover/Distribution/RMD Recommendations Acknowledgment form.
For more information and pricing, please call or email Diane Currie, Lisa Zimmer or Shane Hansen. The DOL Fiduciary Rule Compliance documentation deadline is June 9, 2017, so order your customized materials today.
