Introduction to Fiduciary Prudent Practices

Broadridge

The vast majority of the world’s liquid investable wealth is in the hands of investment fiduciaries, and the success or failure of investment fiduciaries can have a material impact on the fiscal health of any country. The timeless principles that underlie the fiduciary standard, such as loyalty and care, provide the basis for trustworthy conduct by those who are entrusted with other peoples’ money. Fiduciary laws and regulations serve to define the details of prudent investment processes. Those prudent processes make adherence to the core fiduciary principles practical and reliable.

In this session, we will introduce you to fiduciary practices, substantiated in law and regulation, that serve as a guide to investment fiduciaries striving to fulfill their fiduciary obligations. By following a structured process, a fiduciary can be confident that critical components of an investment strategy are properly implemented and followed.

Learning Objectives:

Following this webinar, participants will be able to:  

• Understand the core duties of an investment fiduciary
• Understand a prudent process for carrying out a fiduciary process

Speakers

Rich Lynch, AIFA®
Lead AIF Instructor
Broadridge Fi360 Solutions

Ben Aikin
Director, Designations
Broadridge Fi360 Solutions

Ben Aikin is the Director of Designations for Broadridge Fi360 Solutions. In his role, he is responsible for overseeing Fi360's designations programs, Fi360's accreditation with the ANSI National Accreditation Board, publishing the Prudent Practices handbooks, and other responsibilities related to learning and development.

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