What is CEFEX?

Summit Group Retirement Planners, Inc. is a CEFEX Certified Registered Investment Advisory Firm

CEFEX Mission

CEFEX promotes Fiduciary best practices in the investment management industry.  It is an independent global assessment and certification organization.  It works closely with investment fiduciaries and industry experts to provide comprehensive assessment program to improve risk management for institutional and retail investors.  CEFEX certification helps determine the trustworthiness of investment fiduciaries. 


CEFEX conducts Independent Certifications of Fiduciaries and Fiduciary Support Organizations.  These assessments are conducted according to the principles of the international standard ISO/IEC 17021: Conformity Assessment – Requirements for bodies providing audit and certification of management systems. 

Observance of these principles is intended to ensure that CEFEX operates in a competent, consistent and impartial manner, thereby facilitating the recognition of CEFEX and the acceptance of its certifications on a national and international basis. 

Certification provides independent demonstration that the management system of the organization:

  • Conforms to specified requirements described within a standard
  • Is capable of consistently achieving its stated policy and objectives
  • Is effectively implemented

The assessment provides value to the organization, its customers and interested parties.  The CEFEX certification program provides an infrastructure for fiduciaries to improve overall service delivery to investors.  A CEFEX certification is an independent verification that a firm is adhering to a process that is aligned with the global standard of fiduciary excellence. 


The CEFEX assessment is based on the international standard, ISO 19011: Guideline for quality and/or environmental system auditing and is adjusted to align with the needs of the investment industry.  The CEFEX assessment contains 6 steps and includes both off-site and on-site elements, and can generate confidential findings in the form of Non-conformance reports (NCRs) or Opportunities for Improvement (OFIs). 

CEFEX Fact Sheet

Prudent Practices for Investment Stewards

Prudent Practices for Advisors