“The farther backward you can
the farther forward you are likely to see.”
Sir Winston Churchill
We think you will find the following recent issues of Chartwell Review enlightening and entertaining. Chartwell has regularly published this quarterly review of the investment markets since 1994. (Please contact us if you wish to obtain issues earlier than those available on our online archives.) In addition, we invite you to review some of the articles written by Chartwell professionals on specific investment topics of interest to current clients.
Also on this page are links to other resource materials, legislative and compliance updates, and websites you may find helpful. If you have a particular investment strategy or plan management question, please don’t hesitate to contact us. Chances are we’ve researched the issue at some point.
The publications listed below are stored in the Adobe PDF file format. You will need to have Adobe Acrobat Reader software installed on your computer to access these files. Acrobat Reader may be downloaded free of charge from the Adobe website.
To access the Chartwell archives, click below:
In 2005, the SEC turned its attention to investigating whether there is a conflict of interest issue in the investment consulting community. Twenty-five consulting firms were sent letters requesting information on their practices and procedures. The following pieces contain the Questionnaire that was sent out, and the resulting Findings Report that was issued by the SEC on May 16, 2005. Primary focus is on the fiduciary status of consultants and identifying sources of revenue in multi-practice consulting firms.
Recent controversies at various investment management and consulting practices have reminded institutional investment officers and committees how important it is to engage in good fiduciary practices. The Uniform Prudent Investor Act provides the guiding principles in this regard. The following articles, from MorningstarAdvisor.com, were written by an expert in the field and provide a highly readable review of fiduciary “dos and don’ts.”
Whether you are a plan sponsor or a fund trustee, you have fiduciary responsibilities. To help you understand those duties and provide you with an audit trail, we have posted the Fiduciary Investment Compliance Checklist excerpted from Procedural Prudence for Fiduciaries, The handbook for The Management of Investment Decisions. This useful reference guide was prepared by Donald B. Trone, William R. Allbright, and Philip R. Taylor. Click below to view the handy eight-page checklist:
Below you will find hyperlinks to some websites we’ve found useful as sources of research information for the plan sponsor community. These links are periodically updated or changed as we uncover additional ones, so check back with us.
To obtain more information on retirement plan administration issues and regulations, please visit the following websites:
We recommend the Bloomberg website for general financial information:
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Last update: February 1, 2018