Resources Webinars are presented quarterly to 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 recorded for one hour of CE for the AIF and AIFA designations. CE credit may also apply for the CFP Certification, when indicated. Each individual wishing to receive CE credit for any credential must register and login personally. 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 resources@fi360.com.
Most recent webinar
A Fiduciary Approach to Conflicts of Interest and Risk Governance
Presenters: Blaine Aikin, CEO for fi360, and Byron Bowman, General Counsel for fi360.
Date recorded: Tuesday, December 11, 2012
Description: In a recent speech, SEC Director of the Office of Compliance Inspections and Examinations Carlo V. di Florio stated that "conflicts of interest…are a leading indicator of significant regulatory issues for individual firms, and sometimes even systemic risk for the entire financial system."
Conflicts of interest are the single greatest obstacle to fulfilling fiduciary duty. As long as temptations exist, there will be instances of advisors making decisions for their own benefit at the expense of those they are charged to serve. Fiduciaries have a responsibility to recognize those conflicts and either eliminate them or manage them to the benefit of the client.
Join us for a one hour webinar as we discuss the focus the SEC is currently placing on conflicts of interest and what fiduciaries can do to mitigate this risk. Using Mr. di Florio's speech as our guide, we will take a look at the six types of conflict that are currently high on the SEC's examination priority list, and the three major components of an effective risk governance framework for advisory firms.
Continuing education: If you are an AIF or AIFA designee wishing to receive CE credit for this webinar recording, go first to the Designee Portal for access.
