Resources

Videos

2018.04.16 CEFEX Explained on Asset TV
Blaine Aikin, Executive Chairman of CEFEX provides descriptions of CEFEX's mission, types of clients, certification process, standard, relevance to reputation and marketing advantages. This video is from an interview on Asset-TV (4.5 minutes).
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Video location: www.assettv.com/player/default-player/202986
2018.01.24 Why Work With a CEFEX advisor - Foundation/Non-profit Version
This animated video is intended for non-profit, foundation, endowment and charity clients of CEFEX-certified advisors. (2 minutes)
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Video location: www.youtube.com/embed/yQoz7FG_jQg
2018.01.09 CEFEX and the DOL's Impartial Conduct Standard
Carlos Panksep, Managing Director, CEFEX introduces the legal opinion letter which accompanies certification, stating that certified firms adhere to the new DOL regulation.
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Video location: www.youtube.com/embed/0BMid0q1qSA
2017.10.19 Why an Individual Should Work With a CEFEX Advisor
This animated video is intended for the INDIVIDUAL clients of CEFEX-certified advisors. It is suitable for use in any country, since US references are removed. Length: 2 min.
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Video location: www.youtube.com/embed/LazrXcuDquk
2017.10.18 CEFEX and Trust
Carlos Panksep, Managing Director, CEFEX explains: "How CEFEX increases trust in the financial services industry" ( 2.31 m)
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Video location: www.youtube.com/embed/jbuyUCBJjrw
2017.10.02 CEFEX Recordkeeper Certification
Carlos Panksep, Managing Director CEFEX explains "What it means for a recordkeeper to be CEFEX-certified". (2:40 m) We also have an abridged version of this video (2:13 m). Please contact us for this link.
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Video location: www.youtube.com/embed/9jU-MsZQSso
2017.10.02 Certification of Non-Profit Organizations
Carlos Panksep, Managing Director CEFEX explains "What it means for a non-profit organization to be CEFEX-certified." (2:54 m) An abridged version (1:54 m) is available. Please contact CEFEX for link.
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Video location: www.youtube.com/embed/j8Ph_rJ_atw
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.
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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?
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Video location: //www.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)
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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)
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Video location: //www.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)”
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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)
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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)
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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)
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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)
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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)
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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)
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Video location: //youtube.com/embed/IufEtnuhiTM

 

Marketing Material

2018.07.25 Fiduciary Assessments for Plan Sponsors
This brochure explains the benefits for a Plan Sponsor in undertaking a CEFEX fiduciary assessment.
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Link location: http://www.cefex.org/downloads/marketing/BROCHURE_CEFEX_Fiduciary_Assess_Plan_Sponsors.pdf
2018.07.25 Fiduciary Assessments for NonProfits
This brochure explains the benefits for a non-profit organization in undertaking a CEFEX fiduciary assessment.
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Link location: http://www.cefex.org/downloads/marketing/BROCHURE_CEFEX_Fiduciary_Assess_NonProfit.pdf
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 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

 

PRESS

2018.07.11 CEFEX Renews 45 Certifications for Fiduciary Excellence in Q2 2018
Read more here...
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Link location: http://www.cefex.org/downloads/Cefex_Press_Release2018-07-11.pdf
2018.06.11 The Progression to Excellence
This short blog article describes how CEFEX certification is the pinnacle of fiduciary achievement within the Fi360 product line-up. It is derived from a speech given by Blaine Aikin, Executive Chairman, Fi360 and CEFEX.
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Link location: https://www.fi360.com/blog/post/progression-to-excellence-why-you-dont-need-to-wait-to-be-great
2018.05.01 CEFEX Recognizes 12 Firms for 10 Years of Certification
CEFEX makes announcement at Fi360 Annual Conference in San Diego. Congratulations to firms celebrating a decade of excellence!
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Link location: http://www.cefex.org/downloads/CEFEX_10_Year_Recognition_Release.pdf
2018.02.28 CEFEX Certification: The 'Gold Standard' in TPA Validation
Jason Brown, principal at Benefit Plans Plus, LLC describes how CEFEX certification is one of the cornerstone attributes of an 'alpha' TPA. This article appeared in the Winter 2018 edition of Plan Consultant Magazine, an official publication of ASPPA.
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Link location: http://www.cefex.org/downloads/Articles/CEFEX_article_winter_2018.pdf
2018.01.30 Blaine Aikin on NASDAQ-TV
In this exclusive interview on NASDAQ-TV's "TradeTalks" program Mr. Aikin discusses the CEFEX mission and how the DOL’s Fiduciary Rule plays into our certification program.
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Link location: https://www.youtube.com/watch?v=5tnd3GVznMc&feature=youtu.be
2018.01.17 Announcement regarding Blaine F. Aikin and Legal Opinion Letter
CEFEX is pleased to announce the appointment of Blaine F. Aikin, AIFA ®, CFA, CFP® as Executive Chairman of the company. In conjunction with this industry leader appointment, CEFEX is enhancing its Investment Advisor certification program by directly addressing conformity to the DOL Rule with respect to Impartial Conduct Standards. Firms certified by CEFEX in the United States will continue to receive a legal opinion letter issued by the law firm Drinker, Biddle & Reath, now stating that they have practices and procedures in place that satisfy the Impartial Conduct Standards, including the best interest standard of care in the DOL’s BICE or Prohibited Transaction Exemption 2016-01.
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Link location: http://www.cefex.org/downloads/CEFEX_News_Release_Aikin_ICS.pdf

 

Various

2018.07.17 Fiduciary Conduct And Your Reputation. What's Trust Worth As An Investment Steward?
This white paper is for investment stewards. A great reputation is your organization's most valuable asset. Stewards should strive to be recognized as trustworthy caretakers of other people's money. There are specific fiduciary practices that can be managed to help build a great reputation. Read this white paper by Blaine F. Aikin, Executive Chairman, CEFEX and Fi360.
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Link location: http://www.cefex.org/downloads/articles/Aikin_Whitepaper_Reputation_Steward.pdf
2018.04.10 Q1 2018 Renewals
CEFEX renews 29 certifications in Q1 2018.
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Link location: http://www.cefex.org/downloads/CEFEX_Announcement_Q1_2018.pdf
2018.03.18 National Fiduciary Day is March 22
Nearly one year ago, on March 23, 2017, 60 advisors from 13-states converged on three beloved U.S. cities to unpack the prudent investment practices required of millions of investment stewards and the financial professionals who serve them.
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Link location: https://www.fi360.com/blog/post/dont-miss-national-fiduciary-day-on-march-22-2018
2018.03.18 Fiduciary Conduct and Your Reputation
A company’s (or a person’s) reputation is a measure of how others perceive their quality and character. It is the consensus opinion of whether that company can be trusted. Investment advisors must be perceived as trustworthy. Without trust, there is no basis for an advisory relationship and the business cannot exist. Written by Blaine Aikin, AIFA®, CFA, CFP®, Executive Chairman, Fi360 and CEFEX
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Link location: http://www.cefex.org/downloads/articles/Aikin_Whitepaper_Reputation.pdf
2018.02.02 CEFEX Now Verifies Conformity to Impartial Conduct Standards
Recording and slides from our webinar on Feb 1, 2018 featuring Fred Reish, partner Drinker, Biddle & Reath and Blaine Aikin, Executive Chairman, CEFEX. Fred and Blaine review the CEFEX assessment questions related to the Fiduciary Rule's Impartial Conduct Standards.
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Link location: https://player.vimeo.com/video/253857114
2018.01.29 Testimonial: CEFEX certification and SEC audit
Read how CEFEX certification was a factor in the SEC electing to reduce the scope of an Investment Advisor examination.
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Link location: http://www.cefex.org/downloads/CEFEX_Testimonial_re_SEC_audit.pdf
2018.01.08 Testimonials re CEFEX certification
Read testimonials regarding the benefits of CEFEX certification from Investment Advisors.
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Link location: http://www.cefex.org/downloads/CEFEX_Testimonials_Advisors_2018.pdf
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