-
-
| Compliance Mythbusters: Proving and Dispelling the Greatest Myths of Regulatory Compliance |
Speaker: Brian Hamburger |
So, you're minding your own business, filling up your gas tank, when your cell phone rings. Hmmm. Should you answer it? Because you've heard you shouldn't use cell phones near gas stations since they can produce small sparks that can ignite big fires. But wait. Could that actually be true?
Sounds like a job for Compliance MythBusters!
It's a tough job separating truth from urban legend, but the MythBusters are here to serve. Every day, nationally-recognized experts on investment adviser regulatory compliance, Brian Hamburger and his team of regulatory compliance attorneys at MarketCounsel take on a seemingly endless onslaught of myths and use real life laws, rules and regulations to counsel their clients on what's real and what's fiction. That's right, they do more than explain whether something is or is not legally plausible; they discuss practical implications as well.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| A Prudent Expert Standard of Care: What now? |
Speaker: Wayne Miller |
In ancient Greece it was said that there are two pillars to the temple of Truth; one is confusion and the other paradox. What is prudence anyway? Where have we succeeded and where have we failed in defining our work? Albert Einstein said; you cannot solve a problem using the same thought process that created it in the first place. If we are to continue the quest for a more authentic approach to fiduciary conduct - what must we do now? What assumptions have we made that must be challenged? What is a vision for the future of the fiduciary 'movement'?
|
 | Session Bio: Coming Soon |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Using the fi360 Toolkits to Win New Business |
Speakers: Dave Palascak |
This session will focus on the tools and reports within the fi360 Toolkits that provide ways for you to win new business.
In particular, this session will cover how to: -Use the Proposal generator to compare existing lineups to your proposed lineup -Utilize the Fund Comparison report to compare individual funds.
If you're trying to grow your assets under management, this session will show you the must have Tools within the fi360 Toolkits.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Toolkit sessions were not recorded, visit our website for free Toolkit recorded tutorials and live demonstrations. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Protecting Private Wealth: A Call To Action for Global Families, Trusted Advisors |
Speaker: Chris Thompson |
In light of the Madoff scandal and the financial mismanagement of the past year, private wealth holders are more concerned than ever about protecting their wealth. In this session, Charles Lowenhaupt, CEO of Lowenhaupt Global Advisors, outlines the concrete steps private wealth holders - individuals, families, family offices, foundations and private trusts - can take to avoid the destruction of wealth by poor process and outright fraud. Lowenhaupt will discuss the ground-breaking 'Principles of Private Wealth Management' and highlight their role in promoting the more responsible and effective stewardship of significant private wealth.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Problems and Opportunities in Managing Endowments for Nonprofits: Insight from the Commonfund Benchmarks Studies |
Speaker: John Griswold |
| The current economic recession and market collapse has not only reduced the value of nonprofit endowment portfolios, it has called into question some of the longtime policies and practices employed in the management of nonprofit funds. This session will examine the performance and behavior of nonprofit fund managers, with a focus on the most recent data on educational endowments reported in the 2009 Commonfund Benchmarks Study. |
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Becoming A Sought-After Media Expert: Leverage the Power of Public Relations |
Speakers: Jennifer Connelly & Bob Clark |
| In an age of constant and instant news, companies without a story to tell will get left behind. More information means more competition -- and opportunity. Bob Clark, editor-at-large for Investment Advisor Magazine and Jennifer Connelly, president and founder of boutique public relations firm JCPR, explain how to make the changing media landscape work for you. Representing both ends of the love-hate relationship between press and PR, they provide insights on defining your message and delivering it to the right audiences with style, speed and savvy. |
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Managing Risk with Improved Documentation and Business Practices |
Speakers: Rich Lynch & Fred Reish |
| Knowledgeable fiduciaries understand that risk management is a critical part of their investment process, but how best to address this responsibility is easier said than done. In this session, moderated by Rich Lynch, COO/CCO of fi360, Fred Reish of Reish Luftman Reicher & Cohen will discuss two critical documents, the investment policy statement and service agreement, as well as provide some examples of where fiduciaries went wrong with respect to their preparation and execution. Susan Mangiero, Author of Risk Management for Pensions, Endowments and Foundations, will address the suitability of alternative investments and how to minimize risk while incorporating them into your portfolio. |
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Fiduciary Consulting: Business Models Built upon Prudent Practices |
Speakers: Mike DiCenso, Ed Lynch & Stuart Ober |
This presentation will cover how the fi360 Standard of 'Prudent Practices' has allowed three panelists to create successful business models to assist their clients. The presenters will share their experiences as (1) a standard investment advisory/consulting practitioner, (2) a leader in developing a national institutional practice, and (3) a specialist in applying fiduciary practice standards to trusts, mediations, litigation support, and expert testimony, to show how a 'Prudent Practices Standard' has enabled them to build, differentiate, and sustain their businesses. Audience participation will be encouraged, and will include a question-and-answer session after the presentation.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Fee Benchmarking |
Speakers: David Witz & Tom Kmak |
Learn when and how much a fiduciary or adviser should rely upon fee Benchmarking statistics to support a prudent process. Over reliance on fee benchmarking statistics can cause an engagement to become unreasonable and unreasonable fees can be disgorged. Learn when an adviser is vulnerable to a claim for unreasonable fees when using fee benchmarking to justify existing fee agreements. Also learn what steps can be taken to support and defend a prudent process when fee benchmarking is used and how plan demographics and asset size impacts a plan sponsor or adviser's ability to prevail when challenged.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Ethics, Professionalism and the Economic Crisis |
Speaker: Dr. Robert Kennedy |
The prosperity of a nation is not secured by the private hoarding of wealth nor is it secured by public management of the economic sphere. National prosperity is secured by sound investment but this in turn requires good judgment and trust at every level. Investment management professionals have ethical responsibilities that go beyond optimizing the wealth of individual clients to include concern for the integrity of the financial system. This session explores the importance of professionalism and ethics for all investment managers and advisors.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Learning from over 120 CEFEX Assessments |
Speaker: Carlos Panksep & Matt Hutcheson |
This session first describes how fiduciaries are continuously improving their operation by focusing on specific practices. The session will then address what can happen if a fiduciary is oblivious to the practices.
With over 100 CEFEX assessments of Investment Advisors, Managers, Stewards and Recordkeepers performed, Mr. Panksep provides an overview of the actions taken by firms to continually improve their adherence to the Fiduciary Standard of Excellence. This is a practical view of the practices in place at the firms which are leading the way in the industry's increased awareness of fiduciary practices. This review will help you benchmark your firm's operations, and prioritize your actions to become an outstanding fiduciary.
In part 2 of the session Mr. Hutcheson will describe how he, as an expert witness in one of the nation's current class action lawsuits, introduced the Fiduciary Practices as the standard of care owed to retirement plan participants. Listen how Mr. Hutcheson's powerful arguments on behalf of the plaintiff leveraged the standard, to establish a convincing precedence.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Audio not yet available, check back soon. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Why you need to be in the Cash Balance Business |
Speaker: Daniel Kravitz |
Cash Balance Plans are the hottest design in the Qualified Retirement Plan marketplace right now. Many high wage earners are looking for ways to protect themselves from the imminent tax hikes and recover their losses from the recent financial market challenges. Cash Balance Plans can be an ideal solution. Join the nationally recognized expert, Dan Kravitz, explain how you can take advantage of this trend and grow your business selling Cash Balance Plans.
For over 12 years Kravitz has made Cash Balance Plans the central focus of its firm, earning the distinction of being the nation's leader in this arena. Kravitz has launched the one-of-a-kind Cash Balance Coach Program and the only website dedicated to teaching retirement plan professionals how to market these plans: www.CashBalanceDesign.com.
The new Administration's tax proposals and the financial market turmoil make it incumbent upon every Advisor to learn how these plans can both significantly defer their clients' taxes and restore lost assets.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Reports of Target Date's Death Have Been Greatly Exaggerated--Analyzing the Success of Target Date Funds |
Speakers: Joseph Gordon, Dave Musto & Fred Reish |
Have target date funds failed investors? Recent media reports might cause one to question the success and future viability of target date funds as America's most popular DC plan savings vehicle. But, do plan sponsor and participants have realistic expectations of target date funds? Are target date funds delivering the types of outcomes contemplated in their design? A panel of industry thought leaders will share their perspective on how advisors can more effectively align plan sponsor goals and participant behaviors to specific styles of target date investing. Along the way, they will explore advisor best practices in the selection and monitoring of target date alternatives.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Fiduciary Participant Advice (PPA): Can it Work in Your Practice and How Do You Manage the Fiduciary Liability? |
Speakers: Chad Griffeth, Ed Lynch & Rich Lynch |
An overview of the law, statutory, regulatory and litigation, as it is developing regarding participant advice, as well as the ways of limiting fiduciary liability through insurance and pursuant to a list of best practices that are developing as a result of the evolving law. Also to be discussed is the practical application of participant advice in terms of delivery, revenue, business model application, and fiduciary risk management within your business practice.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Top 10 Tips for Marketing Your Financial Practice: Grow Your Business by Promoting Your Designation |
Speaker: Sam Richter |
Marketing is an art and a science. However, that doesn't mean it has to be difficult or expensive. And with your AIF/AIFA Designation, you have a big opportunity to differentiate from your competition, educate your prospects, and make a big-time impact with a small-time budget.
In 'Top Ten Tips' you'll learn: -How to think like your client, identify your best ones, and find more of them. -The power of a 'mantra' and how to use it to craft your communication strategy. -An easy test to judge your marketing effectiveness. -Tips on getting other people to tell your story. -Simple ways to manage your online reputation and make sure you're found.- The power of social networks.
-Email marketing that gets read and appreciated. -And more!
Whether you have a full-time marketing director or marketing is something you currently do once everything else on your schedule is complete, you'll leave this presentation with practical, easy-to-implement ideas that will help you differentiate yourself from the competition.
|
 | Speaker Bio |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Behavior Gap |
Speaker: Carl Richards |
In this fast paced presentation Carl Richards will examine why the never-ending search for out-performance leads to the average investor to under-performing the average investment, producing what is referred to as negative behavioral alpha. We will explore the degree to which this is true by comparing time-weighted and dollar weighted returns for mutual funds based on asset class and market capitalization. The goal of this presentation is to help investment fiduciaries understand that investment success is not about skill, but rather about managing behavior and that the highest calling of someone that provides investment advice is to focus not on finding the best investments, but rather on helping individuals and institutions become the best investors.
|
 | Speaker Bios |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Answers to 5 Liability Questions that Will Save You Money, Time & Headaches |
Speakers: Gary Sutherland & Tom Schrandt |
In uncertain times, the most effective thing you can do is add certainty where possible. Are you certain that you adequately protect the practice you've worked so hard to build? Your liability exposure has increased, your fiduciary exposure has expanded, and Errors & Omissions claims increase when the market drops. We've seen too many practices who think they have adequate protection only to learn their premium dollars were wasted on insufficient coverage. Value, in the insurance industry, is not measured by the lowest premium, but in terms of proper coverage.
With this in mind, we present 5 specific questions regarding your practice and the answers that will ultimately save you money, time, & headaches.
Does my policy cover my fiduciary exposure? -ERISA Bonds, what am I required to carry for my Investment Advisor firm? -Is the coverage provided by my Broker/Dealer sufficient? -How do I use my insurance coverage as a marketing tool for new business? -How does my clients purchasing Fiduciary Liability Insurance protect me?
In addition, we will address the secrets on how to distinguish your firm to receive discounts on your Errors & Omissions coverage. At the end of the session, you will have specific answers to these questions and be ready to implement steps to save you money, time and headaches.
|
 | Speaker Bios |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Active Intervention to Improve the Retirement Outcome |
Speaker: Greg Kasten |
The largest financial purchase most Americans will make in their lifetime is not their home purchase but rather their retirement income purchase. Retirement plan participants must make extraordinarily complex financial decisions on a daily basis, yet there is now growing evidence that they are rather poorly informed when they make such choices.
This discussion will focus on delivering a discretionary actuarial and investment fiduciary best practices professional business model to ERISA clients. The fiduciary model automatically collects and manages complex financial decisions for plan participants for improved outcomes of retirement income.
|
 | Speaker Bios |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| From Process to Profits: How a Systematized Business Enables Fiduciary Excellence, Enhances your Value Proposition and Drives Revenue |
Speaker: Spencer Segal |
One of the biggest challenges advisors face in today's challenging environment is maintaining profitability while simultaneously upholding quality standards. In this dynamic presentation, Mr. Segal will provide practical examples for creating a more systematic and efficient practice that you can explain to your clients and staff. This will allow you to increase profits and enable fiduciary excellence in your practice. Attendees will be provided with the following: -Step-by-step guide to translating your high-level business objectives into executable tasks that will drive results. -Process to ensure the tasks you define will actually lead to the revenue and profit goals you want to achieve. -Techniques to capture a fiduciary-centric process in tangible format that you can explain to your clients and staff. -Samples that can be used to educate your existing clients to be spokespeople for your process-centric service model, thus increasing your referrals. -Advice and tactics to handle the change management with your staff
This presentation is interactive and engaging. It features high take-home value with ideas that you can begin to immediately apply.
|
 | Speaker Bios |
 | Session Slides/Handouts |
 | Download MP3 file to play on your computer or iPod®. Right mouse click the link above and choose to Save Target As. |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Capstone Accredited Investment Fiduciary® (AIF®) Program |
Speaker: |
Accredited Investment Fiduciary® (AIF®) Training is the best way for investment fiduciaries to absorb the Prudent Practices, their legal underpinnings and how to apply them within existing fiduciary policies and procedures. The AIF Capstone program format combines a day of face to face instruction with access to our Web-based AIF program. Students complete coursework online and attend a scheduled, one-day training that offers students an opportunity to discuss course concepts with instructors and fellow students. The day concludes with an examination in order to apply for and earn the AIF designation.
|
 | Session Bio: Coming Soon |
 | Session slides/handouts: Available for Session Registrants |
 | Audio Not Available |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| Fi360 Toolkit Interactive Workshop (Sold out) |
Speaker: Dave Palascak, Mike Limbacher & Andy Frommeyer: |
This session is now sold out, there is a waiting list for in the event of cancellations. Contact conference@fi360.com for more details.
The workshop is designed for users who are looking to get the most out of the fi360 Toolkits. Interact with the fi360 Tools team to learn: ways to successfully employ the Proposal Generator, Watch List Management tools and techniques, advanced searching methods using the Investment Analyzer, and more. A laptop computer is required to attend the workshop and participate in the exercises. |
 | Speaker Bio |
 | Session slides/handouts: Available for Session Registrants |
 | Audio Not Available |
 | Subscribe to the fi360 Podcast to automatically access all conference content Click link above for details |
| <-- Please select a session on the left |
|