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      Prohibited Transaction Exemption 2020–02 Improving Investment Advice for Workers & Retirees

      Prohibited Transaction Exemption 2020–02 Improving Investment Advice for Workers & Retirees

      by Don George | May 6, 2022 | Additional Scope Item, Wealth Management Audits

        A client recently approached M&M inquiring how M&M will review for compliance with PTE 2020-02 within our wealth management audit program. The below outlines some significant provisions of PTE 2020-02 and how M&M will address this topic in upcoming...

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