The Self-Assessment of Fiduciary Excellence- Level I Verification- is a checklist for Investment Advisors to do a quick self-evaluation of the fulfillment of their fiduciary duties and responsibilities. This product is not sold individually. The price shown below is for a packet of 25 booklets.

This SAFE^TM (Self-Assessment of Fiduciary Excellence) is intended to assist:

 

1.  Investment Stewards and Investment Advisors in analyzing how well their organization meets a defined global fiduciary standard of excelence; and

 

2.  Investment Stewards and Investment Advisors in improving their long-term investment performance.

 

Each of the questions on this checklist is based on one or more fiduciary practices which have been fully substantiated by legislation, case law, and regulatory opinion letters by the law firm of Reish Luftman Reicher & Cohen.

 

Each question is intended to be answered in the affirmative, “Yes.” A careful inquiry should be made into all “No” responses to determine whether:

 

1. There is an omission or shortfall in the Investment Steward's or Investment Advisors’s procedures; and/or
2. The question is not applicable to the Investment Steward or Investment Advisor.

This SAFE is intended to serve as a Level I Verification. A Level II Verification, known as a CAFE^TM (Consultant’s Assessment of Fiduciary Excellence), provides a more detailed analysis of the investment steward’s practices. A Level III Verification, or “Certification,” is the formal process of verifying that an investment steward meets the defined global standards of excellence defined by Fiduciary360 and the Centre for Fiduciary Excellence (Cefex).