Description: Join us for a discussion on the new era of regulation that has taken hold in Washington. Specific topics will include the effects the Dodd-Frank Act will have on advisors and brokers over the next few years; recent SEC and DOL rulemaking, including proposals, rules and guidance that affect fees, disclosures, and how advice is given; and what new regulatory actions can be expected in the next year that will further shape how financial products and services are sold and delivered. Throughout the presentation, we'll be letting you know what steps you should be taking to prepare for the increased transparency and accountability requirements being implemented by policy makers throughout the financial services industry.

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This webinar reviews the fiduciary issues inherent in monitoring fees and expenses and some of the different fees and expenses that need to be monitored

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Presenters: Mike Limbacher, Tools Product Associate, fi360 and Rich Lynch, COO, fi360.
Date recorded: Wednesday, June 2, 2010

Description:This session explains the differences between ERISA 3(21) and 3(38) fiduciaries, along with other, non-ERISA fiduciaries, under what circumstances you would choose to act as one type versus another, what this means for your business model and how you market yourself.

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Description: This session presents advisors with fi360’s recommendations for a top-down review for their final performance report presentations for the year, followed by discussions of the outlook for the future and the decision-making that should be used to prepare for what is ahead. Non-advisor listeners can also get a sense of important issues and the process they should expect to see followed by their advisors.

Description: As a practical matter, the worlds of brokers and advisors have intersected for decades. Many brokers provide some level of advice and many advisors incorporate sales concepts from the brokerage arena to improve business results. Moreover, dual registration is commonplace and allows brokers and advisors to be both as circumstances dictate, even if clients don't understand when the hats change. But, given the high level of investor confusion and dramatically different regulatory structures and business models, the convergence of brokers and advisors in the marketplace has looked more like a collision than a harmonic union.

"Harmonization" is now a catch-word phrase in the realm of regulatory reform but it has far broader ramification for the future of how investment services will be delivered. In this webinar, we will look at the differences between the fiduciary and suitability standards, what "harmonization" looks like to the different major players in reform, the regulatory changes most likely to occur based upon up-to-moment information from the major regulatory players, and business ramifications of anticipated regulatory changes for brokers, advisors and dually registered "brovisors." Finally, we'll highlight some major issues that remain to be decided and go over steps brokers and advisors should proactively take to prepare for what lies ahead."