Webinars
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.
State of the Fiduciary Standard - National Fiduciary Day 2021
Blaine Aikin, AIFA®, CFP®, CFA, Founder, Principal, and Fiduciary Subject Matter Expert, Fiduciary Insights
Duane Thompson, AIFA®, Senior Policy Analyst, Broadridge Fi360 Solutions
October 14, 2021
Our speakers will provide a retrospective review of recent policy and court decisions impacting the fiduciary standard for investment advice. Our presenters will look at current events through the two core duties of an investment fiduciary – the duties of loyalty and care – in apprising the application of these duties under current law. They will cover implementation of Regulation Best Interest, a quasi-fiduciary standard for retail advice by brokers, and recent interest by the Department of Labor in revamping the definition of a 3(21) fiduciary advisor under ERISA, including potential new safe harbors for managing conflicts of interest and applying best practices when providing rollover advice in a retirement planning context.
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Mastering and Practicing ESG Investing
Blaine Aikin, AIFA®, CFP®, CFA®, Subject Matter Expert, Fiduciary Insights
Allison Adams, Senior Regional Director, Institutional Relations, CFA Institute
Martin Jarzebowski, CFA®, Director of Responsible Investing, Federated Hermes
Bonnie Treichel, JD, Chief Solutions Officer, Endeavor Retirement
October 12, 2021
Professionalism requires applied competence – knowing and doing what is right for clients. As interest in environmental, social, and governance (ESG) investing rises, fiduciaries must balance demand with regulatory requirements set forth by the Department of Labor, Uniform Prudent Management of Institutional Funds Act (UPMIFA), and more.
During this well-rounded panel discussion, ESG experts discuss ESG-related policies, explain the circumstances and reliability to achieve ESG efficacy, and provide actionable steps to utilize educational programs and tools to help you navigate the art and science of ESG investing.
Specific topics covered will include:
- ESG relevancy and why it should be and can be a part of every fiduciary advisor’s practice
- Regulatory and fiduciary considerations for ESG investing
- Practical matters impacting how ESG factors are applied
- Resources to help you achieve professional-grade competence and effectively include ESG as part of your practice – keeping you ahead of this rapidly growing and impactful investment discipline
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Elevating the Financial Wellness Discussion
Stuart L. Ritter, CFP®, Retirement Insights Leader, T. Rowe Price
October 07, 2021
While employers have broadly come to recognize financial wellness as an important offering, opinions differ about how best to define and implement it, as well as how to measure its effectiveness. This presentation helps financial professionals deepen the discussion on innovations to update and support existing programs:
- Offers strategies for financial professionals to stay abreast of the developments in this discipline to they can offer employers/employees best in class solutions
- Focuses on establishing the financial and nonfinancial goals and objectives of financial wellness programs, identifying topics to address them, optimizing deployment, and measuring success and progress
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Impact of Employee Health on Business Success
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PTE 2020-02, IRA Rollovers and Beyond: How to Comply by December 20 Deadline
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How to Address Inflation Risk When Investing for Retirement
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Responsibility Works: Generating Long-Term Wealth through Sustainable Investing
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PTE 2020-02, IRA Rollovers and Beyond: How to Comply by December 20 Deadline
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Financial Professionals’ Guide to Estate Planning
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Advisor M&A: What to Prioritize to Drive A Firm’s Enterprise Value
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Ready for Next: What will be the impact of proposed tax reform on the utilization, design and funding strategies of Non-Qualified plans
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Reg Rollbacks: What to Expect From the SEC, DOL and Congress in the 2nd Half of 2021
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ESG and Qualified Plans: The Who, What, When, Where, Why (and, Most Importantly, How) ERISA Plan Fiduciaries Prudently Consider ESG-Related Investments
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Bridging the Gap from Workplace Retirement Savings to Personalized Advice
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How Successful Advisors Conduct Annual Retirement Plan Reviews
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Protecting Wealth for an Aging America
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Pooled Employer Plans (PEP): Moving into the New Era of Retirement Plans
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Enhancing Your Stable Value Product Due Diligence
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How Annuities Can Fit into a Fiduciary’s Planning Process
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Introduction to Fiduciary Prudent Practices
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Lost at Sea – ERISA safe harbors expose participants to increased risk
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Impact Analysis: Unpacking the DOL’s Investment Advice Exemption for Banks & Registered Investment Advisers
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2020 Fiduciary Year in Review and A Look Ahead
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Orlando’s Outlook: 2020 Post-Election Update
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IRAS: Goldmine or Minefield?
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Seize Today. Secure Tomorrow: A Field Guide to Social Security
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Orlando’s Outlook: 2020 Election – Character vs. Economy
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Beyond Money: The Rest of Retirement
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MIT AgeLab: 8,000 Days of Retirement
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It’s Been a Hot Summer for the Regulation of Advice, and There’s No Sign of a Cooldown
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On Beyond Fiduciary: Ascending through the Fire with an Evolving Fiduciary Governance Approach
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Planning More Efficiently for Longevity
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Build-a-Brand Workshop
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Building The Retirement Tier
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Put Your Best Fund Forward: Research-Backed Strategies to Improve Retirement Plans
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The Growing Appeal of CITs in Retirement Plans
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Market Intelligence: A comprehensive review of today’s investment landscape
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A Deep Dive Into Planning for the Client with a Disability
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Retirement Firm M&A: What You Need to Know
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Cash Balance Plans: The Smart Choice for Successful Business Owners
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Understanding a Limited Scope Audit & What Can Go Wrong
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ESG Integration Best Practices
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Rabbi Trusts Benefits Features and Key Considerations
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Stable Value: Why This Time is Different
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Financial Inclusion for People with Disabilities and Caregivers
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Investing Amid a Crisis
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2020 CEFEX General Meeting DAY 2
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2020 CEFEX General Meeting DAY 1
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How to Build Your Reputation: Survey Findings and Implications
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A Fiduciary Guide to the CARES and SECURE Acts
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The Fiduciary’s Role in the Rebirth of a Tribal Nation
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Artificial Intelligence Fiduciary: Automate All Things Ordinary, So You Can Be Extraordinary
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Competitive & Compliant Strategies for Growth
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Serving as Fiduciary for Nonprofits and Foundations
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To MEP or Not to MEP, That Is the Question
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Advisor Considerations for HSAs and ERISA
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RIA Disclosures: Form CRS/ADV Part 3, Share Class Disclosures, and More
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The SEC’s Investment Adviser Interpretation and Reg BI: The (Partial) Convergence for RIAs and Broker-Dealers
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Reg BI and Other Trends for Fiduciary and Professionalism
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2020 State of the Fiduciary
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Market Perspectives for Fiduciaries
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Proving Prudence & Participant Loyalty: A Plan Committee Defends Itself
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The Advisor Perspective on HSAs
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Step 4 of the Fiduciary Process: Monitoring the Client Engagement
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Will Policymakers’ Vision for the Fiduciary Standard Be 20/20 in 2020?
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HSAs – How advisors can help connect health and wealth
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Step 3 of the Fiduciary Process: Implementing the Investment Strategy
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Regulating Conflicted Advice: Is The Rulemaking Process Working?
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Step 2 of the Fiduciary Process: Formalizing the Investment Strategy
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What Crayola Color of 3(16) Does Your Vendor Provide
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Step 1 of the Fiduciary Process: Organizing the Client Engagement
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Latest ERISA Court Actions Offer New Guidance to Fiduciary Practitioners
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Leveraging Tools & Technology to Scale Fiduciary Processes
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Introducing the Latest Update to Fi360’s Prudent Practices
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Demystifying Providing Advisory and Planning Services to Women
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Fiduciary Year in Review: What Advisors Need to Know about the Evolving Fiduciary Landscape
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The Evolving QDIA Landscape: What Defined Contribution Professionals Should Know
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How Mandatory Force-Outs Turned into a Fiduciary Concern
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Aligning ESG Investments and Trends with Participant Values
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Understanding the causes of 401(k) litigation and how to avoid a lawsuit
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How much is your reputation worth?
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An Introduction to the Fiduciary Standard and Fiduciary Principles
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How to Build Portfolios using ETFs and Index Products
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Is the Fiduciary Standard Being Dismembered or Strengthened?
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Step 4 of the Fiduciary Process: Monitoring the Client Engagement
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The Regulatory Outlook for 2018 and the Impact on Advisors
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Step 3 of the Fiduciary Process: Implementing the Investment Strategy
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Behavioral Finance - How Participants Make Decisions
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Regulators, the Courts and the Fiduciary Standard: What’s Happened, What’s Happening, What’s Next
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Designee Coaching Call: Fees, Services, and a Prudent Process for IRA Rollovers
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Exploring the Expanding Universe of Investment Products
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The HSA Opportunity for Retirement Advisors
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Complying with Impartial Conduct Standards under the DOL’s Fiduciary Rule
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Theory in Action: Asset Manager Solutions to Address the Retirement Income Challenge
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DOL Fiduciary Rule Finds New Life in Rule Extension
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Filling the Void in Guaranteed Retirement Income
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The Regulators are Setting Their 2017 Priorities. Are You?
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The Continuing Fiduciary Trend and How the AIF Designation Fits In
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