Investment Monitoring Process

The Investment Management Committee will monitor the performance on a daily basis. At a frequency to be decided by the client, it will formally assess the account and the performance of its underlying investments as follows:

The investment manager is expected to be available to meet with the client quarterly to review portfolio structure, strategy, and investment performance. Investment reports shall be provided on a (calendar) monthly basis or as requested by the client.

The client will be provided a report that includes, but is not limited to:

  1. Performance of investments against benchmarks and rate of return
    objectives on a daily basis
  2. Review of investment activity during previous quarter
  3. Guidance and recommendations for direction of investments
  4. Dividend and fixed asset income projections for upcoming 12 month period
  5. An in-depth view of all associated fees
  6. Any information and/or reports requested by the client.

These guidelines are approved by the client and the advisor and are provided to the investment manager. It is the intention of the client to review these guidelines formally with the investment manager at least annually to confirm their continuing relevance or revise them as appropriate.

Either the client or the investment manager may suggest revisions at any time if it is believed to be in the best interests of the account.