Broker Check

Fiduciary Excellence Assessment


Self-Assessment of Fiduciary Excellence
for Investment Stewards

This Self-Assessment of Fiduciary Excellence (SAFE) is intended to assist: (1) An Investment Steward in analyzing how well their organization meets a defined global fiduciary standard of excellence; and (2) Investment Stewards in improving their long-term investment performance.

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 procedures; and/or
  2. The question is not applicable to the Investment Steward.

Each of the questions corresponds to a fiduciary Practice that has been fully substantiated by legislation, case law, and regulatory opinion letters by the law firm of Reish Luftman Reicher & Cohen.

This SAFE is intended to serve as a Level I Assessment. A Level II Assessment, known as a Consultant’s Assessment of Fiduciary Excellence (CAFE), provides a more detailed analysis of the Investment Steward’s practices. A Level III Assessment, or “Certification”, is an independent recognition of a fiduciary’s conformity to all Practices and Criteria, as defined by the Prudent Practices handbooks. It implies that a fiduciary can demonstrate adherence to the industry’s best practices, and is positioned to earn the public’s trust.

CLICK HERE to take your Self -Assessment

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