Re-Examining The Prudent Practices® | Step 3: Implement

Broadridge

This presentation will provide an in-depth look at the recently revised fourth edition of the Prudent Practices for Investment Advisors Handbook, focusing on Step 3: Implement. We will start by reviewing our formal governance process for creating and maintaining the Prudent Practices®, share the detailed activities that ensure the four-part Fiduciary Quality Management System (FQMS) is up-to-date, and highlight what has changed with the most recent publication of the Prudent Practices® handbook.

This is the third of four 2026 webinars, where we’ll cover essential items advisors need to understand and implement in order to serve their clients. Topics include:

• Understanding and executing a due diligence process to select service providers, products and services,
• Reviewing statutory and regulatory safe harbors, and
• Making and documenting investment decisions in accordance with fiduciary obligations.

This session is important for both newer fiduciaries as a deep dive into understanding and implementing fiduciary principles as well as experienced professionals to stay up to date with the latest fiduciary best practices.

More Information, How to Register