Remain Consistent with Fiduciary Principles
Rollovers, distributions, investment changes, commission to asset-based changes, multiple accounts.
- How do I communicate with clients regarding a plan rollover?
- How do I implement an investment change?
- How do I prepare to present to the client their options and my recommendation for an IRA rollover?
- How do I provide fiduciary advice regarding an IRA rollover without violating ERISA rules?
- Once funds are in an IRA, how can the investor withdraw the funds?
- What are the arguments for and against an IRA rollover?
- What are the client's options if they want to roll over their assets from their Defined Contribution Plan to an IRA?
- What are the conditions under which a current or prospective client is likely to consider an IRA rollover?
- What is a Required Minimum Distribution (RMD)?