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A Better Partnership


May 2017
May 25, 2017

Deadline Approaching: Warner Norcross Customized DOL Fiduciary Rule Compliance Materials for Financial Institutions and Advisors

Last week, we notified you that Warner Norcross & Judd is now offering customized materials, for a flat-fee, to help investment advisors and broker-dealers document compliance with the "best interest" and "impartial conduct" standards of the Department of Labor (DOL) Fiduciary Rule when providing "rollover recommendations," including "pre-hire" rollover advice to clients.

Your customized materials will include:
  • Educational materials for distribution to clients explaining their options with respect to their 401(k) plan account, such as leaving their money in their former employer’s plan, taking a rollover, etc., along with the pros and cons of each option;
  • A fillable PDF checklist to document your compliance with the DOL Fiduciary Rule’s "best interest" and "impartial conduct" standards; and
  • Client Rollover/Distribution/RMD Recommendations Acknowledgment form.     
For more information and pricing, please call or email Diane Currie, Lisa Zimmer or Shane Hansen. The DOL Fiduciary Rule Compliance documentation deadline is June 9, 2017, so order your customized materials today.

NOTICE. Although we would like to hear from you, we cannot represent you until we know that doing so will not create a conflict of interest. Also, we cannot treat unsolicited information as confidential. Accordingly, please do not send us any information about any matter that may involve you until you receive a written statement from us that we represent you.

By clicking the ‘ACCEPT’ button, you agree that we may review any information you transmit to us. You recognize that our review of your information, even if you submitted it in a good faith effort to retain us, and even if you consider it confidential, does not preclude us from representing another client directly adverse to you, even in a matter where that information could and will be used against you.

Please click the ‘ACCEPT’ button if you understand and accept the foregoing statement and wish to proceed.



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