Fiduciary Due Diligence

Did you know that as an ERISA plan fiduciary, you have a personal liability in the event of fiduciary breach of duty? With the rise of participant lawsuits against some of the largest corporations in the country, you want to have the assurance that you have done everything you can to protect yourself.

Some questions that you should ask are:

Is there an Investment Policy Statement in place?
Does the IPS define the duties and responsibilities of all parties involved?
Are the fees charged considered and documented to be fair and reasonable?
Have all fiduciaries been identified?
Have fiduciaries acknowledged their status, duties and responsibilities in writing?

Securities offered through M Holdings Securities, Inc., a Registered Broker Dealer and Investment Advisor, Member FINRA/SIPC.
Advisory Services offered through M Holdings Securities, Inc. and/or Newton One Advisors.
Newton One Advisors is independently owned and operated.

131 Continental Drive, Suite 206 (map)
Newark, DE 19713

Phone: 302.731.1326
Fax: 302.455.9089

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