Description
Organize - Fiduciary Roles and Responsibilities Are Clearly Documented and Defined
Formalize - The Investment Policy is Consistent with the Portfolio’s Objectives and Risk and Return Assumptions
Implement - Decisions Regarding Investments and Services are Implemented in Accordance with the Duties of Loyalty and Care
Monitor - The Portfolio is Monitored Regularly to Ensure Consistency with Benchmarks and Overall Objectives
Review - The previous information is reviewed.
Learning Objectives
Program Learning Objectives (Overarching large concepts versus the detailed LOs listed below):
PLO 1: Evaluate a situation to determine if an advisor’s fiduciary roles and responsibilities are clearly
defined and documented.
PLO 2: Analyze an Investment Policy Statement to ensure the IPS is consistent with the portfolio
objectives and risk/return assumptions.
PLO 3: Evaluate a scenario to ensure to ensure fiduciary decisions are being implemented in accordance
with the duties of loyalty and care.
PLO 4: Analyze a situation to ensure a portfolio is being monitored consistently with the benchmarks
and overall objectives.