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Center for Fiduciary Studies
SAFE(TM)- Investment Managers
Price: $25.00

Detailed Description

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 SAFETM (Self-Assessment of Fiduciary Excellence) is intended to assist:


1.  Investment Managers in analyzing how well their company meets a defined fiduciary standard of excellence; and


2.  Investment Stewards and Investment Investment Advisors in analyzing whether an Investment Manager is derserving of a fiduciary mandate. 


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 Managers’s organization procedures and/or proceedures; and/or
  2. The question is not applicable to the Investment Manager's practice.

This SAFE is intended to serve as a Level I Verification. A Level II Verification, known as a CAFETM (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).  A level IV Verification constitutes a "Rating" of the Investment Manager by Cefex, and is intended to measure the level of trustworthiness of the manager.

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