GDX360 investment policy tools strengthen compliance and promote fiduciary responsibility
With GDX360, you can create an Investment Policy Ticket (IPT) for each household. These capture your client’s intentions concerning portfolio management. Using an IPT provides clarity and helps advisors and clients get on the same page. It can also help shield an advisor from suitability and discretionary-related claims.
Investment policy structure that guides your clients toward goals, even in volatile markets
A goals-driven investment framework helps your clients stay on track with pursuing their life goals. GDX360 provides a strategic roadmap for you in managing the client’s portfolio.
It also adds context for making decisions when whipsawing markets might influence a client’s behavior. GDX360 gives you investment policy tools that can keep clients from making behavior-based, less prudent choices.
Advisors and clients collaborate on specific investment guidelines
Financial advisors and clients alike benefit from collaborative, open communication. That’s what GDX360 does: provide advisors and clients an opportunity to work together. Updating the client’s plan and IPT to reflect changes in their circumstances or goals is a fiduciary-level service. It’s an open conversation that helps you uncover the specific parts of the client’s investment policy, including:
- Choice of investment model
- Risk allocation
- Asset allocation & active risk policy
- Implementation strategy
- “Do Not Buy” and “Do Not Sell” lists
- Funds and accounts
- Withdrawals
- Reviews and monitoring
Investment policy processes that put advisors and clients on the same page.
