Fiduciary Links: fi360 Insights Conference Week
Posted by on April 15, 2013
>>>>It’s fi360 Conference week once again! The fi360 team has already begun arriving in Scottsdale and our pre-conference training sessions have already begun. The conference itself begins in earnest on Wednesday afternoon with attendee checkin and the evening networking reception. That’s followed by two days of educational content on Thursday and Friday.
Our two general sessions this year are Nate Silver and a panel of fiduciary experts, including our own CEO Blaine Aikin, Ron Rhoades of Alfred State College, and Skip Schweiss from TD Ameritrade. Nate Silver will be doing a session on Thursday based on his book, The Signal and the Noise, in which he will discuss how advisors should value predictions and make the best use of them in their practice. He will also be signing copies of his book immediately following his session. Our panel on Friday will be looking at the current and future state of fiduciary regulation and what our audience should be expecting at the federal and state level, as well as how competitive forces are shaping the direction of the fiduciary standard of care. On top of those sessions, there will be an additional 30 breakout sessions over the course of the two days. You can see the full details of the agenda on our website.
We’ll be providing updates throughout the week, both here on the blog and via our Twitter account, where we’ll be using the hashtag #fi360_2013. If you are coming to Arizona for the conference, we look forward to seeing you there. Designees who are not in attendance can look forward to hearing many of the recordings in the Designee Portal within a few weeks of the end of the conference.
>>>And for the best of this week’s fiduciary roundup: law firm warns that DOL fiduciary rule could make SEC cost-benefit analysis moot…federal appeals court upholds decision in favor of in-house trading policies…draft federal budget includes new allocation to fund SEC adviser examinations…tactical allocation strategies way up since onset of financial crisis
News and columns from the leading trade, consumer, and mainstream media:
- A law firm comments that the DOL fiduciary rule would make the SEC plan pointless [InvestmentNews]
- A survey indicated that there are millions of mass-affluent investors that don't believe advisors are worth it, but here are some tips for bringing back that crowd. [InvestmentNews]
- The federal budget proposed by Obama would increase the SEC funding by more than $250 million. [InvestmentNews]
- When executors should and shouldn't trust their accountant's advice. [InvestmentNews]
- With new guidance from the SEC, here's five social media activities you don't need to report to FINRA [AdvisorOne]
From the organizations/associations/government/academia:
- SEC names Jennifer Marietta-Westberg as Deputy Director of the Division of Risk, Strategy and Financial Innovation [SEC]
- CEFEX renews the registration of 19 firms. You can view a complete list of CEFEX-registered firms here. [CEFEX]
- At an SEC event for broker-dealer compliance officers, FINRA CEO Richard Ketchum highlighted the need for greater supervision of complex products [FINRA]
From the blogs:
- Trending topics for ERISA plan sponsors [FiduciaryNews]
- Last-minute tax tips [GettingYour Financial Ducks in a Row]
- Why 408(b)(2) is a flop for the 401(k) business and how RIAs can turn it around [RIABiz]
Articles your clients are reading (or should be):
- Five reasons to save for retirement in a Roth IRA [USNews]
- When is the right time to retire? [USNews]
- Four debt consolidation traps to avoid [USNews]
Have a link we missed? Leave them in the comments section or email us at blog@fi360.com. For more of the best links during the week, make sure you follow us on Twitter.
