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January 06, 2022

DOL PTE 2020-02 Disclosures and Policies — Common Mistakes: An RIA Guide to Readiness Part 2



RIAs who have been working on disclosures and policies and procedures to comply with the conditions of DOL PTE 2020-02 may now feel ready for the fast-approaching February 1 effective date. However, some disclosures and policies do not contain all of the needed elements. Our panelists will describe these deficiencies and discuss how the disclosures and policies can be improved, with a focus on: 

  • The DOL requirements and guidance.
  • Examples of what to avoid and what to include in crafting the best interest disclosures.
  • The do’s and don’ts in developing policies and procedures.

Learn how to avoid common pitfalls and improve your disclosures and policies. You still have time to take action.

Questions? Please contact Heather Sanders or call +1 215 988 1127.

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