Investment Notes Overview

Monitoring requires the Investment Advisor to conduct quantitative and qualitative reviews.

  • Quantitative reviews, among other things, involve a comparison of investment performance to appropriate benchmarks and client objectives in the IPS.
  • Qualitative reviews of Investment Managers and service providers include the need to be aware of and consider things such as: 1) trade press or news reports on turnover in management, 2) repeated enforcement actions taken against the investment organization or its parent, and 3) the quality of responses to requests for information.

The Fiduciary Focus ToolkitTM provides a means for you to document your decision making process regarding investment selection and monitoring. 

To create an investment note:

  1. Navigate to the appropriate investment from the Investments view of your Book of Business
  2. Select "Investment Notes"
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This section allows you to edit or delete existing Investment Note. You are also able to create a New Investment Note here.

Investment Notes are able to be typed directly into the Fiduciary Focus Toolkit. The Toolkit also provides flexible visibility settings and the ability to apply the note across investment share classes.IN3.jpg

  • If you choose not to include the Investment Note in Monitoring Reports, it will be an Internal note
  • If you choose to the include the Investment Note in the Monitoring Report it is a Client Facing note and will appear in the report, as it does below:

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These investment notes will automatically be removed from the Monitoring Report once they are over a year old.  

 

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