Fiduciary 15 Step Checklist - Mind Map

Fiduciary 15 Step Checklist Mind Map
 
 
 
 

Fiduciary 15 Step Checklist - Mind Map

1 years ago by: Timothy Brown
 
 
Fiduciary Process Step 1 - Checklist
  • Fiduciary 15 Step Checklist
    • 1. Know the Fiduciary Framework
    • 2. Know Fiduciary Duties
    • 3. Institute Comprehensive and Compliant Engagement Agreement
    • 4. Establish a Fiduciary File
    • 5. Prepare an IPS
    • 6. Achieve Prudent Portfolio Diversification
    • 7. Select Prudent Asset Classes
    • 8. Identify Prudent Investment Vehicles
    • 15. Document and Communicate
    • 14. Avoid Conflicts of Interest ... and ERISA prohibited transactions.
    • 13. Control and account for all investment expenses
    • 12. Monitor and Supervise all Service Providers
    • 11. Define Investment Replacement Criteria
    • 10. Establish Monitoring and Evaluation Process
    • 9. Identify Investment Selection & Monitoring Criteria
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