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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




Social Security and Why We Truly May Be Facing Retirement Crisis

Rosemarie Panico-Marino, AIF®, Managing Director, The PrivateBank

Thursday, February 25, 2016 from 11:00 a.m. - 12:00 p.m. ET

Every year Social Security publishes its Trustee report on the funded status of the Social Security Funds. The numbers are concerning. Add this to the many published reports that Americans are facing a retirement crisis and the two create a concerning picture. Are we facing a crisis and, if so, what can we be doing to change the tide? As advisors, what are we communicating to our clients to encourage them to do more? Who will be responsible for the shortfall if we do have a crisis? How can we move employees to do more for themselves to help secure a comfortable retirement?

Live attendance is eligible for one hour of CE for the AIF®, AIFA®, PPC™ and CFP® Designations.




Keeping Your Mind on Money While Listening to Matters of the Heart: Fiduciary Heuristics for ESG Investing

Blaine F. Aikin, AIFA®, CFA, CFP®Executive Chairman of fi360

Tuesday, February 2, 2016 from 3:00 p.m. - 4:00 p.m. ET

Essayist Jonathan Swift advised that “A wise person should have money in their head, but not in their heart.” Recent guidance from the DOL confirms that it is fine for fiduciaries to consider matters of the heart when investing, so long as they keep their minds centered on making money.

This webinar will examine recent regulatory developments and the state of the art and science of economically targeting investing (ETI) using environmental, social, and governance (ESG) criteria. Attendees will be provided a useful set of heuristics to guide fiduciary advisors as they seek to serve the interests of clients who want to follow both their mind and heart when they invest.


The Fiduciary Year in Review 2015

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

SEC Chair Mary Jo White announces in March the agency will proceed with a fiduciary rulemaking and third-party outsourcing of some RIA exams. A month later the Department of Labor releases its revised fiduciary rule for comment. In May the Supreme Court confirmed the fiduciary duty to monitor plan investment options is not subject to ERISA’s six-year statute of limitations. These and other events of importance to investment fiduciaries promise to keep shaping the fiduciary standard in the New Year. Join fi360 CEO Blaine Aikin and senior policy analyst Duane Thompson as they reprise the past year and identify key events investment fiduciaries should watch for in 2016.

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Understanding Reasonableness and Using Benchmarking to Avoid the Race to the Bottom

Rich Lynch, President of fi360
Aaron Borders, Regional Director & Vice President at Dimensional Fund Advisors
Matt Burt, Research Analyst for Ann Schleck & Co. 

Since 408(b)(2) disclosure requirements came into effect, plan sponsors are in a better position than ever to carefully scrutinize plan fees and services.  While access to more and better information is empowering for the client, it presents a challenge for advisors and plan service providers to demonstrate value. When evaluating fees, whether for plan services or for investment management, it is important that the least expensive option not be confused with the best or most reasonable.

In this session, we will first provide an overview of the fiduciary duty to monitor, understanding 408(b)(2) disclosure requirements, and a primer on the concept of “reasonableness” as it applies to both plan services and selecting investments. We will then take a look at recent advisor fee and service trends, how advisors can communicate the value they deliver to clients, and how benchmarking can help demonstrate “reasonableness.”

Learning Objectives:

  • Understand the importance of monitoring to the fiduciary process.
  • What “reasonable” means in the context of 408(b)(2) requirements.
  • Best practices for benchmarking. 

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Not Your Average Wealth Management Technology

IPS AdvisorPro

Join us to learn more about the integration capability available between IPS AdvisorPro® and FinaMetrica. This collaboration not only brings together best of breed software in risk tolerance and investment policy statement (IPS) generation, but also streamlines users' ability to assess a client's risk tolerance and incorporate those results into the investment policy statement (IPS).  Used together, these technologies improve advisor-client communications, mutual understanding of roles and responsibilities, and facilitate more successful client and investment management practices.

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An Update on the DOL's Fiduciary Rule Proposal

Presenters:    Blaine F. Aikin, AIFA®, CFA, CFP®, CEO of fi360 
                        Duane Thompson, AIFA®, Senior Policy Analyst at fi360

Now that the public and industry has had its say on the DOL’s “conflicts of interest” rule proposal, it’s time to start looking ahead at how the rule is likely to impact the financial services industry and retirement investors it is designed to protect. What changes do we expect to see from the original rule proposal? What’s a sensible timeline for a final rule to be introduced and, ultimately, take effect? Most importantly, how will the rule affect the way advisors are providing services to retirement plan clients and what prudent processes should they consider adopting prior to the effective date?

In this session, fi360 CEO Blaine Aikin and Senior Policy Analyst Duane Thompson will look at both the big picture of how the rule is taking shape, as well as the practical impact in a number of specific areas. For instance, what does the rule mean for products, such as annuities and proprietary products? How do the prohibited transaction exemptions affect existing advice practices? When exactly is ERISA fiduciary status triggered when advising on rollovers?

Learning Objectives:

  • What to expect from the final DOL conflicts of interest rule
  • Investment processes that planners should be reviewing to ensure compliance
  • How new fiduciary protections are meant to protect investors

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