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Typical Situation

Typical Situation. Typical Situation. Settlor Act. Typical Situation. Settlor Act. Typical Situation. Settlor Act. Recommendation to Purchase. Advisors Recommendation. O. Committee Decision. P. Buy. Fund IS Purchased. Fund IS NOT Purchased. Investment Performance. Good.

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Typical Situation

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  1. Typical Situation

  2. Typical Situation Settlor Act

  3. Typical Situation Settlor Act

  4. Typical Situation Settlor Act

  5. Recommendation to Purchase Advisors Recommendation O Committee Decision P • Buy Fund IS Purchased Fund IS NOT Purchased Investment Performance Good Poor Liability Limited/ No Liability Potential Liability

  6. Recommendation to Remove Recommendation O Committee Decision P • Sell Fund IS Removed Fund IS NOT Removed Performance Good Poor Liability Limited/ No Liability Potential Liability

  7. Advisor Recommendations Recommendation O O Committee Decision P P • Buy • Sell Fund IS Purchased Fund IS NOT Purchased Fund IS Removed Fund IS NOT Removed Performance Good Poor Good Poor Liability Limited/ No Liability Potential Liability Potential Liability

  8. Investment Committee Outsourcing Typical Situation Settlor Act Settlor Act Investment committee outsourcing

  9. Investment Committee Outsourcing Typical Situation Settlor Act Settlor Act Investment committee outsourcing AMENDED

  10. P P P P P P P P P P P

  11. Disclosure Shepherd Kaplan LLC is an SEC-registered investment adviser. It is not a law firm and does not provide legal advice. For legal advice you should consult a legal professional.

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