INTRODUCING THE NEW INDEPENDENT ASSESSMENT REPORT

The most comprehensive report to support the selection and monitoring of investment professionals and service providers.

The CEFEX Independent Assessment Report (IAR) should be in every retail and institutional investor’s due diligence file. VIEW SAMPLE REPORT FOR:   Investment Advisor       Recordkeeper       TPA

What is the Independent Assessment Report?

We are pleased to announce a new way for plan sponsors, investment committee members and individual investors to obtain reports on their advisors and service providers.

This report, exclusively from CEFEX:

• offers a unique method to document the selection and monitoring of your service providers
• summarizes an independent expert analysis
• assurance that an advisor or service provider has been asked the difficult questions required to demonstrate excellence and prudence

The CEFEX assessment described in the IAR, is based on the standard described in the handbook: “Prudent Practices for Investment Advisors” , published by Fi360 Inc. In the case of recordkeepers and Third Party Administrators, it is based on the Standard for Retirement Plan Service Providers published by CEFEX and ASPPA.

Hiring a CEFEX certified firm helps plan fiduciaries fulfill their fiduciary obligations and the downloadable IAR provides a permanent record of the most recent annual assessment.
Download your service provider’s IAR today and store it in your fiduciary file.

How can I access the Independent Assessment Report?

VISIT the CEFEX Certified Provider Page Investment Advisors Or Recordkeepers or TPAs

FIND AND SELECT your service provider Use scroll or search function

CLICK ON Independent Assessment Report* contained within the Registration Page

SAVE TO your fiduciary file Click Print Save as a digital PDF or Print a physical copy

* If the IAR does not appear on the service provider’s Registration Page, please contact CEFEX at number below.

For questions and additional information

Contact your CEFEX certified provider, or feel free to contact CEFEX directly.

(416) 693-9733 carlos.panksep@broadridge.com