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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 4 of the Fiduciary Process: Monitoring the Client Engagement

Rich Lynch, Director, AIFA®, Fi360

Date: April 11, 2018
Time:  2:00 – 3:00 p.m. ET

Description: It would be a mistake to think that the hard work is done once the investment strategy has been prudently developed and executed. The ongoing monitoring and maintenance of a fiduciary portfolio can be the most time-consuming step in the fiduciary process and is where mistakes are generally more likely.  
Join us for an overview of the full scope of fiduciary monitoring, including quantitative and qualitative reviews of performance, ensuring best execution, tracking fees and expenses, and the ongoing review of fiduciary processes. 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. 
Learning objectives: 
  • Understand the full scope and ongoing nature of the duty to monitor a fiduciary investment process.  
  • Recognize the importance of acting on adverse information. 

Click here to register for the webinar. 


The Regulatory Outlook for 2018 and the Impact on Advisors

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

Date: Wednesday, Feb. 14 

Description: While the fiduciary rule will continue to dominate attention in 2018, the second tier of potential regulatory activity may surprise many advisors.

After President Trump’s executive order in early 2017 promising a top-to-bottom review of the Department of Labor’s fiduciary rule, the rest of the year was relatively quiet on the regulatory front for the financial services industry. However, key components of the rule went into effect last June with additional rule-making activity expected as early as this spring by the Securities and Exchange Commission working in tandem with the DOL.

As part of a much broader de-regulatory effort, the Trump Administration also plans to eliminate old rules across federal agencies at “better than 2:1,” according to the Office of Management and Budget.

What does all of this mean for fiduciary advisors? Will the SEC and DOL move ahead with harmonizing the fiduciary standard for investment advice? What has happened to other rules left over from the Obama years? Will Congress move out of gridlock to roll back Dodd-Frank? What are the examination priorities for the SEC and FINRA in 2018?

Fi360’s Blaine Aikin and Duane Thompson review what promises to be an interesting year on the regulatory front in Washington.

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Step 3 of the Fiduciary Process: Implementing the Investment Strategy

Rich Lynch, Director, Fi360

Date: Tuesday, Jan. 9

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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Click Here to View More Previous Webinars.

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