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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 log in 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


Step 3 of the Fiduciary Process: Implementing the Investment Strategy

Rich Lynch, Director, Fi360

Date: Tuesday, Jan. 9 from 2 p.m. - 3 p.m. EST

Description: With an investment strategy in place to meet the goals of the client/beneficiary, the third step of the fiduciary process is all about execution. More specifically, this amounts to having sound processes in place for conducting due diligence, whether on service providers or investments. Step 3 also includes making sure elected Safe Harbor provisions are being followed.

Join us for an overview of what it means to have objective, repeatable, and consistently applied procedures in place for implementing an investment mandate. This session is appropriate as both an introduction to fiduciary principles for those who are inexperienced with acting as a fiduciary and as a refresher for experienced advisors who have fiduciary training and a track record of supporting fiduciary clients.  

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Behavioral Finance - How Participants Make Decisions

Dr. Gregory W. Kasten, Founder & CEO, Unified Trust Company

Date Recorded: Wednesday, Dec. 13

Description: Behavioral finance research shows most 401(k) participants are not active decision-makers.  In fact, most participants are dominated by five key behavioral traits: inertia, procrastination, choice overload, endorsement and framing. This discussion will explain these behaviors and how appropriate strategies can be enacted to allow for participant success despite these behaviors. 

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Regulators, the Courts and the Fiduciary Standard: What's Happened, What's Happening, What's Next

Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Director, Fi360
Duane Thompson, AIFA
®, Senior Policy Analyst, Fi360

Date Recorded: Wednesday, Nov. 29

Description: Over the last several years, dozens of lawsuits have been filed against retirement plans. They include ERISA's exemption of church plans and claims of excessive fees and imprudent investment options for in-house 401(k) plans of financial service companies, prominent universities and even small plans. Are individual advisors next? Fi360 takes a closer look at recent developments at the SEC, FINRA and state regulators, and then identifies common fiduciary breach claims being weighed by the courts in tackling that question. This session concludes with practical tips for advisors and wealth managers in avoiding problems in working with plans and individual client accounts. 

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