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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. You must login individually to receive CE credit. Recorded videos of previous webinars are available for viewing below and may also be accessed in the Designee Portal in order to receive CE credit. If you have any questions, please email resources@fi360.com.
Most recent webinar
Asset allocation for volatile markets
Presenters: Harold Evensky, President of Evensky & Katz Wealth Management and Roger Gibson, Chief Investment Officer of Gibson Capital. Moderated by Blaine Aikin of fi360.
Date recorded: Thursday, December 15
Description: Everyone has an opinion on where they think the economy is going next, and yet no one really knows for sure. It is a fiduciary's job to balance that short-term uncertainty with the long term goals of the client. Join us for a discussion on asset allocation in today's markets with two of the preeminent authorities in the field. We'll put the current environment into a historical context, discuss asset class correlations, look at the importance of understanding the client's risk tolerance and other behavioral concerns, and examine the relevance of Modern Portfolio Theory at a time of global financial crisis.
PREVIOUS WEBINARS
A fiduciary approach to alternative investments
Presenters: Tom Orecchio and Mark Willoughby of Modera Wealth Management and Guy Barudin of Terrapin Partners, LLC. Moderated by Blaine Aikin of fi360.
Date recorded: Wednesday, September 28, 2011
Description: As advisors seek opportunities for greater diversification and additional returns, alternative investments are gaining traction as main stream options for investment portfolios. However, fiduciaries should proceed carefully as they have a duty to demonstrate an understanding of any investment option and why it is in the best interests of the beneficiaries. In this session, we will define what qualifies as an alternative investment, how to decide if they are appropriate for a given client, and what constitutes a prudent selection and monitoring process for individual alternative investment vehicles.
A Fiduciary Approach to Risk management / Life Insurance Planning
Presenters: Joseph Maczuga, founder and executive director of Fee Advisors Network and Rich Lynch, COO of fi360
Date recorded: Thursday, June 2, 2011
Description: The presentation focuses on how to employ a methodology of current fiduciary standards through a qualifying process for analysis, design, and recommendations related to life insurance.
Disclosure of policy nuances that often "trap" the client, the differentiation between commission product and commission culture, and the incapacity to make a judgement call based on illustrations will be provided.
We will also address the need to fulfill the advisor's responsibilities of oversight in this area, and challenge, for discussion, the exposure created through the commonly used approach of avoidance or negligent referral.
The Fiduciary Trend: The Combined Effects of the Proposed Advice Regulation and 408(b)(2)
Presenter: Fred Reish, ERISA attorney from the Reish & Reicher law firm
Date recorded: Thursday, March 3, 2011
Description: A discussion of the DOL's new proposed regulation on fiduciary investment advice and the DOL's 408(b)(2) regulation. The proposal will, if adopted in its current form, substantially expand the definition of fiduciary investment advice to include many of the current activities of investment consultants and broker-dealers. The 408(b)(2) regulation amplifies that issue by requiring a written disclosure if a person or entity "reasonably expects" to be providing fiduciary services. In addition, both the SEC staff and FINRA have suggested the possibility of a more limited fiduciary status under the securities laws for broker-dealers. What are the trends? What are the specific ERISA provisions? What are the consequences?
Building an effective and compliant social media program for advisors
Social media can be a valuable tool for advisors to reach new client audiences and network with colleagues, but only if you know how to use it right. Join us for a discussion on building an effective social media program, understanding the liability and exposure associated with social media and complying with the latest regulatory guidance.
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Presenters: Jessica Weiner, Founder of Value Quotient, Tom Henell of NAPLIA and Kristina Fausti, Director of Legal and Regulatory Affairs of fi360
Date: Thursday, December 2, 2010
The New Era of Financial and Fiduciary Regulation
A discussion on the new era of regulation that has taken hold in Washington, including proposals, rules and guidance that affect fees, disclosures, and how advice is given; and what can be expected in the next year that will further shape how financial products and services are sold and delivered. We also go over 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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Presenters: Blaine Aikin, CEO of fi360 and Kristina Fausti, Director of Legal and Regulatory Affairs of fi360
Date recorded: Thursday, September 9, 2010
Monitoring client and investment fees
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
Presenters: Scott Simon, Principal, Prudent Investor Advisors, LLC, Scott Pritchard, Managing Director, Advisors Access, Capital Directions, and Rich Lynch, COO, fi360.
Date recorded: Thursday, March 11, 2010, 4:00-5:00 p.m. EST
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.
Download the slides here.
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Presenters: Blaine Aikin, CEO, Andy Frommeyer, Director of Products and Services, and Rich Lynch, COO
Date recorded: Thursday, December 10, 2009
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.
Download the slides here.View the webinar
Presenters: Blaine Aikin, CEO and Kristina Fausti, Director of Legal and Regulatory Affairs
Date recorded: Thursday, September 3, 2009, 4-5 p.m. EDT
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."
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Presenters: Blaine Aikin, CEO and Kristina Fausti, Director of Legal and Regulatory Affairs
Date Recorded: Tuesday, June 2, 2009
Description: The current industry and economic landscape is set to change the regulatory environment as we know it and those changes will directly affect how both service providers and investors function. Topics covered include the changes likely to be seen from legislators and regulators, including the adoption, in some form, of a fiduciary standard of care, how they can get the changes right and how they could fall short, how a change in culture is in the best interests of both the service providers and investors, why FINRA or another Self-Regulatory Organization is the wrong solution for oversight, as well as updates on any relevant developments.
Visit the fi360 Blog to continue the conversation from this Webinar. If you submitted questions during the Webinar, we will be addressing as many as possible on the blog.
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Presenters: Blaine Aikin, CEO and Rich Lynch, COO
Date recorded: Thursday, March 5, 2009
Description: Take a walk down the hall of shame to recall some of the greatest fiduciary fiascos of all time that have been heavily concentrated in the last few years. It is no coincidence that they have been accompanied by the near collapse of the global financial system. All types of assets, all types of investors, and all types of financial institutions have been involved. Invariably fiduciaries committed the most egregious crimes and other fiduciaries had the best chance of preventing them. This session brings into focus the essential lessons to be learned from the financial calamities that have captured the headlines, crippled the financial markets and changed the investment advisory business forever.
Visit the fi360 Blog to continue the conversation from this Webinar. If you submitted questions during the Webinar, we will be addressing as many as possible on the blog.
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Disruption and uncertainty in our industry is bringing about change; and with change comes opportunity. This hour-long complimentary Webinar concentrates on what can be learned, and gained, from recent industry developments. This event provides attendees with fi360's perspective and insight on how recent market activity will affect fiduciary responsibility, what is happening on Wall Street and in Washington, and risks and opportunities going forward.
Presenters: Blaine Aikin, CEO and Rich Lynch, COO
Date recorded: December 4, 2008
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