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Fiduciary Risk Management
Risk to your balance sheet from improperly funded plans. Fiduciary risk. Regulatory risk. At the risk of stating the obvious, there are all kinds of risk that can threaten the successful operation of your retirement program and your organization. That’s why our goal is to ensure that you have the tools and information you need to stay one step ahead of virtually any risk scenario.

At Prudential Retirement, we apply a rigorous, meticulous process to manage fiduciary risk. One that’s rooted in experience and backed by comprehensive support. We work closely with you and your advisors to develop and document the investment process, addressing your fiduciary liability concerns right down to the smallest detail. At the same time, in keeping with our process focused approach, we also take a more comprehensive overview of the fiduciary’s role. With that in mind, our multi-faceted fiduciary risk management has been designed to help sponsors mitigate risk in these key areas:
  • Investments—Once you’ve selected your investments, our Due Diligence Advisor Program tracks how each fund has performed, how it compares to other funds in its class, and how it remains in investment style. In this way we help plan sponsors meet their fiduciary as well as financial responsibilities.
  • Operational Compliance—We provide you with the tools and services you need to ensure your plan is well designed, cost-effective, financially sound and compliant with applicable laws.
  • Communication and Education—Our integrated approach to communication and education is built around the premise that personalized, relevant education is the most effective way to encourage active participation, regular contributions and sound assetallocation by employees.
  • Regulatory Risk Management—Recent headlines concerning corporate mismanagement have had a profound impact on the way regulators are scrutinizingcorporations both large and small. To help you navigate this changing landscape, we have compliance and regulatory experts on staff who have unrivaled track records when it comes to anticipating issues well before they can become problems.
The end result of our meticulous approach? When you work with Prudential Retirement, you can be confident that you are fulfilling your obligations as a fiduciary to act, “solely in the interest of the participants and their beneficiaries.”*

All of which means you have the freedom to concentrate more fully on your business, knowing our expert risk management team has got you covered.

*As stated in the Employee Retirement Income Security Act of 1974 (ERISA).

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Prudential Retirement’s Manager of Managers funds are offered through separate accounts available under group annuity contracts issued by Prudential Retirement Insurance and Annuity Company (PRIAC), Hartford, CT, a Prudential Financial company.

Securities products and services are offered by Prudential Investment Management Services LLC (PIMS), Three Gateway Center, 14th Floor, Newark, NJ 07102-4077. PIMS is a Prudential Financial company.

Prudential Retirement and Prudential Financial are registered service marks of The Prudential Insurance Company of America, Newark, NJ and its affiliates. Prudential Retirement is a Prudential Financial business.

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Securities products and services are offered through: Pruco Securities, LLC, and Prudential Investment Management Services, LLC, both members SIPC and located in Newark, NJ, or Prudential Annuities Distributors, Inc., located in Shelton, CT. All are Prudential Financial companies. PRU, Prudential, Prudential Financial, the Rock logo and the Rock Prudential logo are registered service marks of The Prudential Insurance Company of America and its affiliates. Site for U.S. persons only.

Prudential Financial, its affiliates, and their licensed financial professionals do not render tax or legal advice. Please consult with your tax and legal advisors regarding your personal circumstances.

Securities and Insurance Products:
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