Investment Manager Monitoring Guidelines

Download the PDF version Under the Investment Manager Monitoring Guidelines, the SBA will develop a "Watch List" to define the conditions that will cause the SBA to evaluate continued retention of an investment manager or investment product. Each quarter, SBA Defined Contribution Programs staff reviews data, analysis and recommendations from the SBA's manager monitoring consultant, Wilshire Associates. As a result of this process, investment products can be identified for enhanced monitoring (i.e., Watch Listed), which initiates a series of steps outlined in the Guidelines (provided above as a PDF). Placing a manager on "Watch List" is an intermediate step towards either resolving the problem or terminating the manager. Please note that in providing this information, the SBA is not in any way intending to influence or inform your investment decisions. Also, this list can change at any time without prior notice from the SBA. Products Subject to Enhanced Monitoring Various investment products have been subjected to enhanced monitoring for performance through the time periods shown in the "Due Diligence" section. Please contact the MyFRS Financial Guidance Line toll-free at 1-866-446- 9377, Option 1, for any further questions or updated information on funds.