Press Release

Fisher Investments Earns Fiduciary Excellence Certification

Issued by Fisher Investments

Apr. 5, 2022

Firm's 401(k) Solutions Group recognized by Centre for Fiduciary Excellence

CAMAS, Wash. -- Fisher Investments 401(k) Solutions was recognized by the prestigious Centre for Fiduciary Excellence (CEFEX®) and awarded their "Fiduciary Excellence" certification. Fisher Investments 401(k) Solutions earned the CEFEX® certification following an independent assessment of the firm's investment management processes, investment strategy implementation and other practices demonstrating adherence to the highest fiduciary standards. Fisher Investments 401(k) Solutions joins an elite group of firms to have successfully completed the CEFEX® certification. 

The Centre for Fiduciary Excellence (CEFEX®) is an independent, US-based organization that certifies financial services firms and investment managers that meet globally-recognized standards of fiduciary conduct and investment stewardship. CEFEX®-certified firms undergo annual assessments to ensure ongoing adherence to the highest fiduciary standards and consistent, excellent service to clients.

"We're honored to be recognized by CEFEX® for providing exceptional service and investment solutions that always put our clients' interests first," said Nathan Fisher, Senior Executive Vice President of Fisher Investments 401(k) Solutions. "This certification is a reflection of our continuous commitment to our clients, their employees and retirees."

Carlos Panksep, Vice President of the Centre for Fiduciary Excellence, added, "CEFEX® certification provides assurance to investors that Fisher Investments 401(k) Solutions adheres to the industry's highest fiduciary standard. This indicates the firm's interests are fully aligned with investors."

CEFEX®'s certification program is based on firms meeting requirements outlined by regulators and US law, such as the Employee Retirement Income Security Act (ERISA), the Investment Advisers Act of 1940, the Uniform Prudent Investor Act (UPIA), the Uniform Prudent Management of Institutional Funds Act (UPMIFA) and the Model Management of Public Employee Retirement Systems Act (MMPERSA). 

Fisher Investments 401(k) Solutions is specifically certified for providing discretionary advisory services to retirement plans as an investment manager under ERISA Section 3(38) and other plan services. Official registration for Fisher Investments 401(k) Solutions is available here and the CEFEX® Independent Assessment Report is available here. To learn more about CEFEX® certification visit cefex.org.

About Fisher Investments

Fisher Investments is an independent, fee-only investment adviser. As of 12/31/2021, Fisher Investments and its subsidiaries manage over $208 billion in assets globally—over $163 billion for private investors, $42 billion for institutional investors and $2 billion for US small to mid-sized business retirement plans. Fisher Investments maintains four principal business groups: US Private Client, Institutional, Private Client International and 401(k) Solutions, which serve a global client base of diverse investors. Not all strategies are offered/sold in all jurisdictions. Founder and Executive Chairman Ken Fisher wrote the Forbes "Portfolio Strategy" column from 1984 through 2016, making him the longest continuously running columnist in the magazine's history. In recent years, Ken's columns have run consistently in major media outlets across almost every Western European country as well as material Asian countries, spanning more countries and more volume than any other columnist of any type in history. Ken has also authored 11 books, including four New York Times bestsellers on finance and investing. For more information on Fisher Investments, please visit www.fisherinvestments.com.

About Fisher Investments 401(k) Solutions

Fisher Investments 401(k) Solutions is dedicated to providing superior retirement plan services to small and mid-sized businesses and their employees. Fisher's unique service offering is built on 40+ years of successful wealth management experience and includes our flexible investing platform with institutional class funds. Our clients experience the benefit of ongoing support from a dedicated Retirement Counselor whose focus is making the management of a company retirement plan easier, while helping employees plan for a dignified retirement.  For more information on Fisher Investments 401(k) Solutions, please visit http://www.fisher401k.com/.

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