

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.

Compliance Reviews
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