SERVICES

Fulfilling a Fiduciary Obligation is not a solitary achievement but one that is habitually executed. It can only be defined as a virtuous act of both trust and accountability made visible when someone has placed their client’s goals before their own. It requires Subject Matter Expertise in:

 

. Portfolio/Wealth Management techniques/analytics

. Financial Technology; providing visible evidence of methodology

. Law

We focus our services on the behaviors and methodologies that are prerequisite to outcomes. By doing so we raise fiduciary awareness, uncover fiduciary breaches, and improve the likelihood that clients reach their objectives. 

Plaintiff or Defense Expert Witness/Subject Matter Expert   

          . Case Origination

          . Breach/Allegation discovery & formulation

          . Evidence discovery and interpretation    

          . Expert Witness/Testimony, Rebuttal, Cross Examination

          . Methodology discovery

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Fintech Advisory

Technology supports every facet of the Financial Services Industry. Many utilize Fintech for Financial Planning, CRM, Analytics, Reporting, Portfolio Management, etc.  Its importance will only increase due to the need of satisfying regulatory requirements. We are highly experienced "Fintech Fiduciaries"  that can optimize your technology needs and elevate your visible cognizance of oversight.

Retirement Plan Review & Design

. Investment Committee discovery

. Investment Policy Statement (design, re-design, consistency   with  investment options and record-keeping)

. Investment Methodology (Modern Portfolio Theory/analytics,     benchmarking, quartile assumptions, IPS consistency)

. Record-keeping/administrative (participant fees, participant     education and education, RFPs, asset charges vs returns)

. Fintech review; Financial Planning Software/Tools, CRM, Software/Review, Reporting Software/Tools

. Fiduciary education and comprehension (ERISA, Trust Law, The Prudent Investment Act)   

 Featured Articles & References

. PLANSPONSOR (https://www.plansponsor.com/exclusives/prudence-procedure-context-protecting-erisa-class-actions/)

ThinkAdvisor (www.thinkadvisor.com/2018/10/15/watch-out-for-self-serving-information-on-retireme/)

InvestmentNews (https://www.investmentnews.com/article/20180410/BLOG07/180419991/best-interests-and-fiduciary-arent-the-same-so-which-will-the-sec)

.401khelpcenter.com (http://www.401khelpcenter.com/401k/shikes_fiduciary_law_trust_law_2017.html#.XETiaFxKjIU)

Fees and the SEC Fiduciary Standard: Implications of     Behavioral Economics for Public Policy (by John Turner, Pension   Policy Center, http://jay.law.ou.edu/faculty/jforman/JohnTurner.pdf, p.8)

Retirement Plan/Trust Forensics
 

Trust Law was highly instructive in the creation of ERISA of 1974 whereby visible behaviors and methodologies are the barometers of prudence and loyalty. Our uncommon skill-sets afford us the ability to review documents and production files to reverse engineer Retirement Plans and Trusts to determine if Fiduciary Duties have been fulfilled. 

 

Fiduciary Duty/ERISA & Suitabilty/FINRA Training​ & Seminars 

  

Expertise in the following disciplines that recognize and fulfill Fiduciary Duties:

          . Portfolio/Wealth Management techniques/analytics

.         . Financial Technology; providing visible evidence of                        methodology

          . Legal Awareness; ERISA, DOL, FINRA  

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Additional Fiduciary Services

For International Banking & Financial Services contact neal@trustedfiduciary.com or farid@trustedfiduciary.com