Step 4 of the Fiduciary Process: Monitoring the Client Engagement

Date: February 20, 2020

Time: 2:00 pm - 3:00 pm EST

It would be a mistake to think that the hard work is done once the investment strategy has been prudently developed and executed. The ongoing monitoring and maintenance of a fiduciary portfolio can be the most time-consuming step in the fiduciary process and is where mistakes are generally more likely.  

Join us for an overview of the full scope of fiduciary monitoring, including quantitative and qualitative reviews of performance, ensuring best execution, tracking fees and expenses, and the ongoing review of fiduciary processes. This session is appropriate as both an introduction to fiduciary principles for those who are inexperienced with acting as a fiduciary and as a refresher for experienced advisors who have fiduciary training and a track record of supporting fiduciary clients.

Presenter(s): Rich Lynch, AIFA®, Founder and Lead Instructor, Fi360 & Bennett Aikin, AIF®, VP, Designations, Fi360

Learning objectives:

  • Understand the full scope and ongoing nature of the duty to monitor a fiduciary investment process.
  • Recognize the importance of acting on adverse information.

This webinar is accepted by Fi360, IWI and the CFP Board for one hour of continuing education.

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