Plan Sponsor Self Assessment


Self Assessment is intended to assist a Plan Sponsor in analyzing fi360_logohow well their organization addresses the prudent practices which comprise a Global Fiduciary Standard of Excellence and to assist Investment Stewards in pursuing improvement in their long-term investment performance.

Logo CEFEXPlease answer yes, no, or not known to each question. Questions 6, 7, 8, and 13 apply only to Defined Benefit plans. To then determine the outcome of this questionnaire, please hit submit at the bottom of the page.

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1. Are investments managed in accordance with applicable laws, trust documents, and written investment policy statements?
YesNoNot Known
2. Are the roles and responsibilities of all involved parties (fiduciaries and non-fiduciaries) defined, documented, and acknowledged?
YesNoNot Known
3. Is there no indication that fiduciaries and parties in interest are involved in self-dealing?
YesNoNot Known
4. Are service agreements and contracts in writing? Are they written without provisions that conflict with fiduciary standards of care?
YesNoNot Known
5. Are assets within the jurisdiction of appropriate courts? Are they protected from theft and embezzlement?
YesNoNot Known
6. Has an investment time horizon been identified?
YesNoNot Known
7. Has a risk level been identified?
YesNoNot Known
8. Has an expected, modeled return to meet investment objectives been identified?
YesNoNot Known
9. Are selected asset classes consistent with the identified risk, return, and time horizon?
YesNoNot Known
10. Are selected asset classes consistent with implementation and monitoring constraints?
YesNoNot Known
11. Is there an Investment Policy Statement (IPS) which contains the detail to define, implement, and manage a specific investment strategy?
YesNoNot Known
12. Does the IPS define appropriately structured, socially responsible investment (SRI) strategies (where applicable)?
YesNoNot Known
13. Is the investment strategy implemented in compliance with the required level of prudence?
YesNoNot Known
14. Are applicable “safe harbor” provisions followed (when elected)?
YesNoNot Known
15. Are investment vehicles appropriate for the portfolio size?
YesNoNot Known
16. Is a due diligence process followed in selecting service providers, including the custodian?
YesNoNot Known
17. Are there periodic reports comparing investment performance against an appropriate index, peer group, and IPS objectives?
YesNoNot Known
18. Are periodic reviews made of qualitative and/or organizational changes of investment decision-makers?
YesNoNot Known
19. Are control procedures in place to periodically review policies for best execution, "soft dollars," and proxy voting?
YesNoNot Known
20. Are fees for investment management consistent with agreements and with all applicable laws?
YesNoNot Known
21. Are "finder's fees" or other forms of compensation that may have been paid for asset placement appropriately applied, utilized, and documented?
YesNoNot Known
22. Is there a process to periodically review the organization's effectiveness in meeting its fiduciary responsibilities?
YesNoNot Known