| Service Provider Diligence |
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On February 24, 2010, Dr. Michael Kraten explained some basics about the Type I and Type II forms of SAS 70 reports. As President of Enterprise Management Corporation and a senior enterprise risk management expert, Dr. Kraten added that institutional investors should not be lulled into false security by relying on these internal control documents. Instead, buy side executives must be confident that the preparers are thorough and knowledgeable, at a stark minimum.
FiduciaryX.com subscribers can read the entire transcript of Dr. Kraten's interview by logging in. |
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Greetings!
The FiduciaryX Research and Education Team is working hard, adding investment best practices resources and data for busy institutional investing professionals. Check out some of the many items recently added to the site:
Since we continue to receive multiple inquiries about service provider due diligence, we will be devoting additional resources to this critical topic. Don't forget that investment decision-makers are granted full access to social networking features of FiduciaryX, including the Service Provider Ranking System.
Let us help you with your research and analysis needs. Email Editors@InvestmentGovernance.com with your inquiry or log in as a subscriber and use our Virtual Reference Desk submission form. |
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Upcoming Events |
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The March 2010 calendar is jam-packed with insightful interviews about investment best practices, red flag warnings and analyses of major scandals. The list below is a sampler of the numerous educational programs that are available to FiduciaryX.com subscribers at no additional charge:
- Mr. Donald B. Trone, CEO - Fiduciary Ethos: Fiduciary Leadership
- Mr. Randy Schostag, President - Minnesota Business Valuation Group: Hard-to-Value Investing
- Mr. Kenneth S. Springer, President - Corporate Resolutions: Investment Fraud and Background Checks
- Dr. Robert Maurer, Director of Behavioral Sciences - Santa Monica-UCLA Medical Center: Crisis Management
- Dr. Lucjan Orlowski, Professor of Economics - Sacred Heart University and Central Bank Consultant: Eurozone Monetary Policy and Investment Implications of Sovereign Default
- Mr. Pascal Levensohn, Managing Partner - Levensohn Venture Partners: Venture Capital Governance and Key Person Risk
- Attorney Timothy Selby, Partner - Alston & Bird, LLP: Hedge Fund Due Diligence and Hard-to-Value Challenges
- Mr. Seth Merrin, CEO - Liquidnet Holdings: High Frequency Trading.
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"Fiduciary Assessments and Standards"
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On February 17, 2010, Mr. Carlos Panksep shared his insights about fiduciary standards with Investment Governance, Inc. CEO Dr. Susan Mangiero. As General Manager of CEFEX, also known as the Centre For Fiduciary Excellence, Mr. Panksep heads a team of independent analysts who grade organizations on their demonstrated commitment to good investment stewardship. As he explains, a rating approach is nothing new. The CEFEX application of ISO 9000 standards for the investment industry follows in the tradition of using scorecards to assess entities such as automotive manufacturers, medical device companies and health care delivery providers. Mr. Panksep offers that institutional investors and their service providers benefit from the discipline of getting ready for an assessment each year and the ability to act on information they learn during the process.
FiduciaryX.com subscribers can read the full transcript by logging in and visiting the Knowledge Center, Content Library or clicking here. |
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On behalf of the Investment Governance team, we appreciate your time and look forward to connecting soon!
Sincerely,
Susan Mangiero
CEO
Investment Governance, Inc. |
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