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| Fiduciary Monitoring Checklist |
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When monitoring an investment advisor or investment manager, remember to check:
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Investment results. |
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Whether there have been any significant organizational, ownership, or personnel changes to the provider. |
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Whether there have been any significant changes to the financial stability, fiduciary insurance, or bonding coverage of the provider. |
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Whether the provider has been subject to administrative enforcement actions or litigation. |
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Whether the provider has complied with the terms of its contract. |
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Whether there have been any changes to the provider's fees. |
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Whether there have been any participant complaints. |
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