Navigating Risk & Regulations
Navigating Risk & Regulations

Compliance Insights

Access compliance commentary from some of the industry’s leading consulting firms and attorneys. Clients can use their Schwab Advisor Center® credentials to download full white papers.

Featured topic

What advisors should know about giving rollover advice after January 31, 2022

The Department of Labor (DOL) has significantly changed its position on rollover advice since adopting Prohibited Transaction Exemption 2020-02 (PTE 2020-02) in December 2020. The DOL now holds that a rollover recommendation can be ERISA investment advice if the advice is ongoing. 

Our latest Compliance Review explains the impact to advisors, why exemptions are essential, and provides recommendations for complying with PTE 2020-02.

Read the White Paper to Learn More

Compliance Reviews

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    Meeting current and future challenges of serving aging clients

    The impact advisors have on seniors cannot be overstated. As fiduciaries, advisors must consider how best to serve seniors and implement sound practices to protect and safeguard senior assets. 

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    Keeping up with the SEC Marketing Rule

    The SEC adopted amendments in December to Rule 206(4)-1, referred to as the Marketing Rule, which will have vast implications for the compliance and business practices of almost all U.S. investment advisors. 

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    An update on the world of insurance for advisors

    In the world of financial institutions, insurance serves an integral role in the foundation of an investment advisor's risk tolerance. Understanding the benefits of the key insurance policies available will empower advisors to implement best practices, inclusive of adequate insurance protections as part of their risk management program.

Read more Compliance Reviews

Read more Compliance Reviews

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