Resources

Videos

2017.06.08 Why Work With a CEFEX Advisor?
This animated video is intended for the clients of CEFEX-certified advisors. It describes the benefits of using a CEFEX-certified advisor. Client types are individual investors, foundations and retirement plans. Length: 2 minutes.

Video location: //www.youtube.com/embed/4TBFaHHGhow
2017.06.05 Advisor Perspectives
Plancorp, LLC answers questions: Why did Plancorp get CEFEX-certified? How does CEFEX enhance client messaging? How do Plancorp's clients benefit from your firm being certified?

Video location: //youtube.com/embed/77F9OmC01Gc
2017.05.22 CEFEX Defined
Carlos Panksep, Managing Director, CEFEX explains “What it means to be CEFEX-certified." (1:50 m)

Video location: //www.youtube.com/embed/T5vnSuby4sY
2017.05.18 Benefits to Plan Sponsor
Carlos Panksep, Managing Director, CEFEX explains "How does a plan sponsor benefit from its advisor being CEFEX-certified?" (1:46 m)

Video location: //youtube.com/embed/duopIJodi3k
2017.05.17 CEFEX Advisory Firm Defined
Carlos Panksep, Managing Director, CEFEX explains “What it means for an advisory firm to be CEFEX-certified." (1:39 m)”

Video location: //www.youtube.com/embed/NpENJ9oqpYE
2017.05.16 CEFEX Investment Outcome
Carlos Panksep, Managing Director, CEFEX responds to "Does fiduciary certification affect investment outcome?" (1:52 m)

Video location: //youtube.com/embed/H0DbbfLKiDM
2017.05.15 CEFEX and the Individual Investor
Carlos Panksep, Managing Director, CEFEX explains "How does an individual investor benefit from his/her advisor being CEFEX-certified?" (1:48 m)

Video location: //youtube.com/embed/HPAIGBpKcTc
2017.05.04 CEFEX TPA Benefits to Advisor
Carlos Panksep, Managing Director, CEFEX explains "How does an advisor benefit from partnering with a CEFEX-certified TPA?" (2:50 m)

Video location: //www.youtube.com/embed/tGa48ZUWasA
2017.05.03 CEFEX TPA Certification
Carlos Panksep, Managing Director CEFEX explains "What it means for a Third Party Administrator to be CEFEX-certified". (2:25 m)

Video location: //www.youtube.com/embed/QUeVRInwCqo
2017.05.03 CEFEX Investment Outcome - International
Carlos Panksep, Managing Director, CEFEX responds to: "Does fiduciary certification affect investment outcome?" - edited for use in international markets. (1:33 m)

Video location: //youtube.com/embed/w-Ay31eM3T4
2017.05.03 Advisor Perspective - Working with a CEFEX TPA
Susan Conrad, Director Retirement Plan Advisors, Plancorp, LLC describes her experience working with a CEFEX-certified TPA. (1:35 m)

Video location: //youtube.com/embed/IufEtnuhiTM

 

Marketing Material

2017.05.24 Fiduciary Breach Lawsuit List
This is a list of ERISA class action lawsuits filed in 2015 and 2016. It's an indication that many participants cannot be sure about the quality of their retirement plans. CEFEX-certified advisors can facilitate the certification of their own retirement plan clients, and give participants assurance.
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Link location: http://www.cefex.org/downloads/Fiduciary_Breach_Lawsuit_Listing.pdf
2017.05.18 Benefits of Certification
Why should investors and retirement plan participants deal with CEFEX-certified firms? What are the benefits of certification for the firm? This brochure lists ten benefits of CEFEX-certification. All benefits are relevant to both certified organizations and the clients or investors of certified organizations.
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Link location: http://www.cefex.org/downloads/CEFEX_Ten_Benefits.pdf
2017.05.18 CEFEX-certification Process
This is an overview of the 5 step process for CEFEX-certification.
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Link location: http://www.cefex.org/downloads/CEFEX_Assessment_Overview_1_Page.pdf
2017.05.18 CEFEX-certification Information Booklet: Documents from Certification (U.S. Version)
This Document Contains a sample: CEFEX Certificate, Prudent Practices for Investment Advisors, CEFEX Web-Mark, CEFEX Mark, News Release, CEFEX Public Certification Report, Legal Letter, Letter of Registration, Insurance Discounts, Public Listing, and Marketing Material
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Link location: http://www.cefex.org/downloads/CEFEX_Advisor_Certification_Booklet_US.pdf
2017.05.18 CEFEX-certification Information Booklet: Documents from Certification (International Version)
This Document Contains a sample: CEFEX Certificate, Prudent Practices for Investment Advisors, CEFEX Web-Mark, CEFEX Mark, News Release, CEFEX Public Certification Report, Legal Letter, Letter of Registration, Insurance Discounts, Public Listing, and Marketing Material
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Link location: http://www.cefex.org/downloads/CEFEX_Advisor_Certification_Booklet.pdf
2017.05.18 ASPPA Brochure
ASPPA TPA and Recordkeeper information including details on the standard and how to get started.
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Link location: http://www.cefex.org/downloads/CEFEX_ASPPA_Brochure_Generic.pdf
2017.05.18 The Benefits of Certification to the Service Provider’s Clients
Reasons why retirement plan sponsors should hire CEFEX-certified recordkeepers and administrators.
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Link location: http://www.cefex.org/downloads/CEFEX_Certification_Benefits_to_ASPPA_clients.pdf
2017.05.18 ASPPA Service Provider Certification - Detailed Practices Information
The Standard of Practice for Retirement Plan Recordkeepers and Administrators
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Link location: http://www.cefex.org/downloads/CEFEX_ASPPA_Certification_Detail.pdf
2017.05.18 TPA Letter to Advisors
This is a letter that is sent from a certified TPA to regional advisors to help create partnerships.
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Link location: http://www.cefex.org/downloads/TPA_Letter_to_Advisors_CEFEX.pdf
2017.05.18 CEFEX-certification for Retirement Plans
This brochure describes the benefits of the Investment Steward CEFEX-certification to the employer.
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Link location: http://www.cefex.org/downloads/CEFEX_Brochure_Employer.pdf
2017.05.18 CEFEX-certification for Retirement Plans
This brochure describes the benefits of the Investment Steward CEFEX-certification to the employee.
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Link location: http://www.cefex.org/downloads/CEFEX_Brochure_Employee.pdf
2017.05.14 Benefits of using a CEFEX Advisor
This one-page brochure describes the benefits of using a CEFEX advisor.
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Link location: http://www.cefex.org/downloads/Benefits_to_CEFEX_Advisor_Clients.pdf
2017.05.13 CEFEX Advisor Brochure Road to Security - Wealth Management
Brochure used by CEFEX advisors to individuals. Explains fiduciary role. Can be co-branded by advisor.
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Link location: http://www.cefex.org/downloads/CEFEX_Advisor_Brochure_Road_to_Security_WM.pdf
2017.05.12 CEFEX Advisor Brochure Road to Security
Brochure used by CEFEX advisors to qualified plans. Explains fiduciary role. Can be co-branded by advisor.
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Link location: http://www.cefex.org/downloads/CEFEX_Advisor_Brochure_Road_to_Security.pdf
2017.05.03 Advisor Marketing Opportunity: Getting Steward Clients Certified
You value your CEFEX certification. You can now pass that value on to your clients. This brochure will explain how a CEFEX-certified Advisor to Retirement Plans, Foundations, and Governmental Organizations can strengthen the relationship that they have with their clients.
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Link location: http://www.cefex.org/downloads/Advisor_Steward_Client_Certification.pdf

 

Various

2017.05.18 The Case for CEFEX
A White Paper on the 'The Case for Using a CEFEX Investment Advisor in a US Retirement Plan.'
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Link location: http://www.cefex.org/downloads/Articles/White_Paper_The_Case_for_CEFEX.pdf
2017.05.09 White Paper: Community Foundations
'Why Community Foundations and Charities with Foundations Need to Think About Their Investment Governance' This White Paper explains how CEFEX can help.
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Link location: http://www.cefex.org/downloads/Articles/White_Paper_Community_Foundations_CEFEX.pdf
2017.05.08 White Paper: SRI
'Socially Responsible Investing: What Fiduciary Investment Boards Need to Know'. This White Paper describes how fiduciary obligations are affected by SRI.
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Link location: http://www.cefex.org/downloads/Articles/White_Paper_SRI_CEFEX.pdf
2015.05.06 Voices: Russ Hill, on Why Firms Should Get CEFEX Certification
Russ Hill is chairman and CEO of Halbert Hargrove of Long Beach CA. He wrote this piece for the Wall Street Journal. CEFEX has purchased copies of this article. Please contact CEFEX.
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Link location: http://www.cefex.org/downloads/WSJ_Voices_Hill_On_CEFEX.pdf
2014.12.15 Tibble Vs. Edison Amicus Brief Filed
CEFEX Analyst Firm Cambridge Fiduciary Services files an amicus brief with the U.S. Supreme Court regarding the use of retail cost mutual funds when lower cost institutional class funds are available.
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Link location: http://www.cefex.org/downloads/Amicus_Brief_Cambridge_Tibble.pdf
2014.05.20 CEFEX adds data security requirements into certifcation
CEFEX has expanded its assessment guidelines to include more data security questions, reflecting the heightened sensitivity to this issue and the ever increasing risk of data security breaches. We know that CEFEX-certified firms strive to implement the industry's best practices when it comes to protecting investor information.
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Link location: http://www.cefex.org/downloads/CEFEX_News_Release_Data_Security.pdf
2014.03.17 fi360 and CEFEX provide comments to SEC Strategic Plan
fi360 and CEFEX propose the introduction of third party audits to help the SEC address the growing challenges of regulating the investment advisor industry.
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Link location: http://www.cefex.org/downloads/fi360_comments_SEC_Strategic_Plan.pdf
2014.03.07 CEFEX Gaining Adoption
CEFEX designations are gaining more widespread adoption, and some say that working with an adviser with the designation could benefit plan sponsors. Article in PlanSponsor.
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Link location: http://www.plansponsor.com/CEFEX_Designated_Advisers_Offer_Sponsors_Fiduciary_Muscle.aspx
2013.04.24 CEFEX delivers first independent fee disclosure assessment
News release describing how CEFEX enables the delivery of 408(b)(2) legal opinion letters to plan sponsor clients of Gordon Asset Management, from law firm Drinker, Biddle & Reath.
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Link location: http://www.cefex.org/downloads/CEFEX_RELEASE_Opinion_Letter_DBR_GAM.pdf
2012.10.10 The 408(b)(2) Trap for Plan Sponsors
Plan sponsors and their officers who make 401(k) decisions, face lawsuits and penalties if they do not take steps to comply with the new regulatory requirements. This is a CEFEX Expert Commentary from Fred Rreish of Drinker, Biddle & Reath, LLP.
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Link location: http://www.cefex.org/downloads/CEFEX_Commentary_Reish_SPD.pdf
2012.06.10 CEFEX Analyst Commentary: Fiduciary Wake-Up Call
CEFEX Analyst, Roger Levy comments on the fiduciary implications of the recent Tussey v. ABB court decision.
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Link location: http://www.cefex.org/downloads/CEFEX_Commentary_Fiduciary_Wake-up.pdf
2012.06.01 CEFEX Firm Profile: South Texas Money Management
STMM has been certified since June 19, 2007.
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Link location: http://www.cefex.org/downloads/CEFEX_Firm_Profile_STMM.pdf
2012.04.30 The Fiduciary Assessment of an Investment Advisor
This article appeared in the Spring 2012 edition of ASPPA's "Plan Consultant" magazine. It describes a complete fiduciary assessment of an Investment Advisor, and may be helpful to CEFEX-certified Advisors who need material for client prospects.
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Link location: http://www.cefex.org/downloads/Plan_Consultant_Article_Spring_2012_Advisor_Assessment.pdf