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Stay up to date on the latest company news, developments, and releases; new product and services offerings; advocacy and policy activities; and opportunities for our members and the fiduciary community.

SEC Enforcement Slowly Tilting Fiduciary Needle toward ERISA

Corporate Compliance Insights
January 17, 2018

At stake in the prolonged debate over a “best-interest” standard of care for retirement advice are $7.5 trillion in 401(k)-type assets and $8.4 trillion in IRA assets. Whether or not the Department of Labor (DOL) and the Securities and Exchange Commission (SEC) will eventually come to agreement on a uniform standard of conduct remains to be seen, but the SEC’s inspection and enforcement arms are slowly forging ahead by imperceptibly moving the regulatory needle in favor of the DOL’s higher standard for advice-givers. Compliance officers, as well as plan sponsors’ HR Departments and the investment committees that oversee 401(k)-type defined contribution plans, are wise to examine this trend, as it can impact their business moving forward.
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Fi360 Expands Fiduciary Essentials Training Program for Financial Professionals

January 17, 2018

Updated Fiduciary Essentials for Advisors curriculum enables financial professionals to successfully navigate the evolving regulatory and market environment
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Fiduciary Expert Blaine Aikin Takes Expanded CEFEX Role as Executive Chairman

January 16, 2018

CEFEX, the Centre for Fiduciary Excellence, LLC, an Fi360 company, is pleased to announce the appointment of Blaine F. Aikin, AIFA®, CFA, CFP®, as Executive Chairman of the company. In conjunction with this industry leader appointment, CEFEX is enhancing its Investment Advisor certification program.
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The latest in financial adviser #FinTech

January 03, 2018

Welcome to the January 2018 issue of the Latest News in Financial Adviser #FinTech – where we look at the big news, announcements, and underlying trends and developments that are emerging in the world of technology solutions for financial advisers and wealth management!
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