Step 3 of the Fiduciary Process: Implementing the Investment Strategy

Rich Lynch, Director, Fi360

January 09, 2018

With an investment strategy in place to meet the goals of the client/beneficiary, the third step of the fiduciary process is all about execution. More specifically, this amounts to having sound processes in place for conducting due diligence, whether on service providers or investments. Step 3 also includes making sure elected Safe Harbor provisions are being followed.

This session is an overview of what it means to have objective, repeatable, and consistently applied procedures in place for implementing an investment mandate. It 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.