• You have a system in place to periodically monitor and evaluate the client’s investment performance to determine whether the client will be able to meet their goals and objectives. (Dimension 5.1)
  • You look beyond investment performance to analyze whether you are meeting the client’s goals and objectives. (Dimension 5.1)
  • You have a defined process for determining when an investment option should be replaced; and the process is consistently applied. (Dimension 5.1)
  • You avoid conflicts of interests (and you disclose any potential conflicts that are unavoidable), and you adhere to a code of ethics. (Dimension 5.1)
  • You conduct periodic investigations into possible conflicts of interest of other investment decision-makers. (Dimension 5.2)
  • You conduct periodic qualitative reviews of money managers. (Dimension 5.2)
  • You have a process in place to periodically assess your Behavioral Governance. (Dimension 5.2)