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Fiduciary Resource Center



Our educational webinars address recent industry developments or specific topics related to fiduciary responsibility. They offer opportunities for interaction between the audience and the presenters, who are fi360 staff or other industry thought-leaders.

Live attendance is eligible for one hour of CE for the AIF®, AIFA®, and PPC Designations. CE credit may also apply for the CFP® Certification, when indicated. Each individual wishing to receive CE credit for any credential must register for and login to the session individually so that we have a record of your attendance. Recorded videos of previous webinars are available for viewing below. AIF and AIFA Designees must access archived webinars through the Designee Portal in order to receive CE credit. If you have any questions, please email



What the Upcoming Election Means for Advisors

Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Chairman of fi360
Duane Thompson, AIFA®, Senior Policy Analyst at fi360

Date: October 31, 2016 from 2:00 – 3:00 p.m. ET

Advisors are accustomed to market volatility. But nowhere in recent memory has anyone seen as much political volatility as in the current election cycle. How will oversight of investment advisers change with new regulatory chiefs at the SEC and DOL under a Trump presidency? Will the current trajectory of regulation change with a Clinton in the White House? And will the DOL fiduciary rule morph into something else with a changing of the guard? What will Congress do in terms of tax reform and Wall Street oversight if Democrats take the Senate?

Join our industry experts Blaine Aikin, AIFA®, CFA®, CFP® and Duane Thompson, AIFA® as they look past Election 2016 to see what changes are in store for the financial services industry. 

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* PLEASE NOTE: This webinar is not eligible for CE credit from fi360 or from CFP Board.




Putting the Investment Policy Statement at the Center of Your Fiduciary Process

Rich Lynch, AIFA®, Director at fi360
John Faustino, AIF®, Chief Product and Strategy Officer at fi360

Date: September 13, 2016 from 3:00 – 4:00 p.m. ET

At the heart of managing a prudent investment process is the investment policy statement. Done right, it is the blue print for any fiduciary portfolio and the game plan for carrying out the fiduciary process. In this session, we will first cover why the IPS is the critical document for managing the investment process and how thoughts and opinions on the IPS have evolved. Then we will look at the structure and contents of an effective IPS. Finally, we will provide guidance on practical aspects of operationalizing the IPS, such as managing consistent IPS documents across clients, using the IPS to manage investment workflows, and the ongoing maintenance required to keep the IPS up to date.

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Cybersecurity: What advisors need to know about protecting data

Blaine F. Aikin, AIFA®, CFA®, CFP®, AIF®, Executive Chairman of fi360
Wes Stillman, Founder and President, Rightsize Solutions

Date: August 23, 2016 from 2:00 – 3:00 p.m. ET

Cybersecurity is a topic everyone is becoming more familiar with. When data breaches occur to major companies, it causes major headlines and major headaches. But advisors shouldn’t feel complacent that they’ll slide under the radar. With access to personal information about their clients and less resources to devote to data protection, advisors make for an enticing target. In this session, we will first make the case for a fiduciary imperative to take cybersecurity seriously and review the latest guidance form regulators. Then our guest presenter will give an overview of vulnerabilities most advisors share and the steps any advisor can take now to better protect themselves from attack.

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Fiduciary Focus – Collective Investment Trusts Capturing Assets and Attention

Blaine F. Aikin, AIFA®, CFA®, CFP®, AIF®, Executive Chairman of fi360
John Faustino, Chief Product and Strategy Officer

Date: July 26, 2016 from 3:00 – 4:00 p.m. ET

Collective Investment Trusts (CITs) have been capturing lots of attention and assets lately. CITs offer retirement plan fiduciaries an attractive, generally lower-cost, alternative to mutual funds. Assets invested in these vehicles have grown from about $900 billion in 2008 to over $1.5 trillion at the end of 2014, according to Pension & Investments data.

CITs have also caught the attention of regulators and litigators. At the end of last year (12/29/15), Schlichter, Bogard, and Denton filed a class action suit in the case of Bell, et al. versus Anthem Inc., alleging in part that lower-cost CITs should have been selected for Anthem’s 401k plan instead of “identical” higher-cost mutual funds.

Plan fiduciaries and investment fiduciary advisors need to be well versed in CITs and how to evaluate them. This webinar will cover what CITs are, similarities to and differences from other pooled investments, how to analyze them, and trends relating to CITs that will be important for investment fiduciaries to follow.



Compensation, conflicts, and best practices under the DOL’s Fiduciary Rule

Blaine F. Aikin, AIFA®, CFA, CFP®,AIF® , Executive Chairman of fi360
J. Richard Lynch, AIFA®, Director of fi360

Date: June 28 from 3:00 – 4:00 p.m. ET

Now that the DOL’s fiduciary rule has been out for over two months, advisors need to be turning their attention towards compliance. In this session, we will focus in on specific provisions of the rule, the associated compliance concerns, and what steps advisors should be taking starting now. Among the topics to be covered are requirements around compensation, conflicts of interest, rollover advice, and the Best Interest Contract Exemption.



DOL Fiduciary Rule and Putting Investors First

J. Richard Lynch, AIFA®, Director of fi360

Date: Wednesday, May 25 2016 from 3:00 p.m. - 4:00 p.m. ET

The DOL’s Fiduciary Rule is perhaps the most significant event in advisor oversight since ERISA was enacted in 1974. It will have a profound and lasting impact on how advisors provide advice and client services. The fundamental premise of the rule is that all advice is a fiduciary act and must therefore be in the best interests of the investors and beneficiaries.

In this session, fi360 Director Rich Lynch will cover the context and basics of the rule, key provisions of the rule, and steps advisors must take to get into compliance with the rule.


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