This Tool is intended to give practitioners a preliminary synopsis regarding their fiduciary status when taking part in a rollover discussion with a retirement investor. New rules by the Department of Labor made recommending a rollover a fiduciary act, requiring ERISA’s duties of prudence and loyalty, and subject to its prohibited transactions.

This tool is a starting point to understanding how this new rule may apply to you, it is not intended to convey or constitute legal advice.  

To speak with a DALBAR expert about rollovers, please contact info@dalbar.com.

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