Investment Steward SAFE15

This Investment Steward SAFE15 tool is a shortened version of Broadridge Fi360 Solutions’ full Self-Assessment of Fiduciary Excellence (SAFE). It is designed to give a Steward of a retirement plan or similar, a preliminary indication of his/her organization’s adherence to the Global Fiduciary Standard of Excellence.

The 15 Yes/No questions have been selected from the criteria contained in the Prudent Practices® for Investment Stewards, which is the basis for CEFEX fiduciary assessments. Upon completing the SAFE15 questionnaire, a SAFE15 report will be generated, allowing the Steward to quickly assess adherence to a fiduciary standard of care. It can also be a useful guide in determining whether a full fiduciary assessment should be undertaken. Following a fiduciary assessment, CEFEX certification can be achieved.

The CEFEX Certification Mark for Investment Stewards

The SAFE15 questionnaire takes about 10 minutes to complete and a report summarizing your responses will be provided after clicking the ‘Finish’ button.

Questions? Contact your CEFEX Analyst, designee or or 866-390-5080.
A CEFEX Analyst or Broadridge Fi360 Solutions designee (AIF® or AIFA®) can provide guidance on best fiduciary practices.