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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PTE 2020-02, IRA Rollovers and Beyond: How to Comply by December 20 Deadline Watch

How to Address Inflation Risk When Investing for Retirement Watch

Responsibility Works: Generating Long-Term Wealth through Sustainable Investing Watch

PTE 2020-02, IRA Rollovers and Beyond: How to Comply by December 20 Deadline Watch

Financial Professionals’ Guide to Estate Planning Watch

Advisor M&A: What to Prioritize to Drive A Firm’s Enterprise Value Watch

Ready for Next:  What will be the impact of proposed tax reform on the utilization, design and funding strategies of Non-Qualified plans Watch

Reg Rollbacks: What to Expect From the SEC, DOL and Congress in the 2nd Half of 2021 Watch

ESG and Qualified Plans:  The Who, What, When, Where, Why (and, Most Importantly, How) ERISA Plan Fiduciaries Prudently Consider ESG-Related Investments Watch

Bridging the Gap from Workplace Retirement Savings to Personalized Advice Watch

How Successful Advisors Conduct Annual Retirement Plan Reviews Watch

Protecting Wealth for an Aging America Watch

Pooled Employer Plans (PEP): Moving into the New Era of Retirement Plans Watch

Enhancing Your Stable Value Product Due Diligence Watch

How Annuities Can Fit into a Fiduciary’s Planning Process Watch

Introduction to Fiduciary Prudent Practices Watch

Lost at Sea – ERISA safe harbors expose participants to increased risk Watch

Impact Analysis: Unpacking the DOL’s Investment Advice Exemption for Banks & Registered Investment Advisers Watch

2020 Fiduciary Year in Review and A Look Ahead Watch

Orlando’s Outlook: 2020 Post-Election Update Watch

IRAS: Goldmine or Minefield? Watch

Seize Today. Secure Tomorrow: A Field Guide to Social Security Watch

Orlando’s Outlook: 2020 Election – Character vs. Economy Watch

Beyond Money: The Rest of Retirement Watch

MIT AgeLab: 8,000 Days of Retirement Watch

It’s Been a Hot Summer for the Regulation of Advice, and There’s No Sign of a Cooldown Watch

On Beyond Fiduciary: Ascending through the Fire with an Evolving Fiduciary Governance Approach Watch

Planning More Efficiently for Longevity Watch

Build-a-Brand Workshop Watch

Building The Retirement Tier Watch

Put Your Best Fund Forward: Research-Backed Strategies to Improve Retirement Plans Watch

The Growing Appeal of CITs in Retirement Plans Watch

Market Intelligence: A comprehensive review of today’s investment landscape Watch

A Deep Dive Into Planning for the Client with a Disability Watch

Retirement Firm M&A: What You Need to Know Watch

Cash Balance Plans: The Smart Choice for Successful Business Owners Watch

Understanding a Limited Scope Audit & What Can Go Wrong Watch

ESG Integration Best Practices Watch

Rabbi Trusts Benefits Features and Key Considerations Watch

Stable Value: Why This Time is Different Watch

Financial Inclusion for People with Disabilities and Caregivers Watch

Investing Amid a Crisis Watch

2020 CEFEX General Meeting DAY 2 Watch

2020 CEFEX General Meeting DAY 1 Watch

How to Build Your Reputation: Survey Findings and Implications Watch

A Fiduciary Guide to the CARES and SECURE Acts Watch

The Fiduciary’s Role in the Rebirth of a Tribal Nation Watch

Artificial Intelligence Fiduciary: Automate All Things Ordinary, So You Can Be Extraordinary Watch

Competitive & Compliant Strategies for Growth Watch

Serving as Fiduciary for Nonprofits and Foundations Watch

To MEP or Not to MEP, That Is the Question Watch

Advisor Considerations for HSAs and ERISA Watch

RIA Disclosures: Form CRS/ADV Part 3, Share Class Disclosures, and More Watch

The SEC’s Investment Adviser Interpretation and Reg BI: The (Partial) Convergence for RIAs and Broker-Dealers Watch

Reg BI and Other Trends for Fiduciary and Professionalism Watch

2020 State of the Fiduciary Watch

Market Perspectives for Fiduciaries Watch

Proving Prudence & Participant Loyalty: A Plan Committee Defends Itself Watch

The Advisor Perspective on HSAs Watch

Step 4 of the Fiduciary Process: Monitoring the Client Engagement Watch

Will Policymakers’ Vision for the Fiduciary Standard Be 20/20 in 2020? Watch

HSAs – How advisors can help connect health and wealth Watch

Step 3 of the Fiduciary Process: Implementing the Investment Strategy Watch

Regulating Conflicted Advice: Is The Rulemaking Process Working? Watch

Step 2 of the Fiduciary Process: Formalizing the Investment Strategy Watch

What Crayola Color of 3(16) Does Your Vendor Provide Watch

Reg BI Cometh! Watch

Step 1 of the Fiduciary Process: Organizing the Client Engagement Watch

Latest ERISA Court Actions Offer New Guidance to Fiduciary Practitioners Watch

Leveraging Tools & Technology to Scale Fiduciary Processes Watch

Introducing the Latest Update to Fi360’s Prudent Practices Watch

Demystifying Providing Advisory and Planning Services to Women Watch

Fiduciary Year in Review: What Advisors Need to Know about the Evolving Fiduciary Landscape Watch

The Evolving QDIA Landscape: What Defined Contribution Professionals Should Know Watch

How Mandatory Force-Outs Turned into a Fiduciary Concern Watch

Aligning ESG Investments and Trends with Participant Values Watch

Understanding the causes of 401(k) litigation and how to avoid a lawsuit Watch

How much is your reputation worth? Watch

RFP Best Practices Watch

An Introduction to the Fiduciary Standard and Fiduciary Principles Watch

How to Build Portfolios using ETFs and Index Products Watch

Is the Fiduciary Standard Being Dismembered or Strengthened? Watch

Step 4 of the Fiduciary Process: Monitoring the Client Engagement Watch

The Regulatory Outlook for 2018 and the Impact on Advisors Watch

Step 3 of the Fiduciary Process: Implementing the Investment Strategy Watch

Behavioral Finance - How Participants Make Decisions Watch

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

Designee Coaching Call: Fees, Services, and a Prudent Process for IRA Rollovers Watch

Exploring the Expanding Universe of Investment Products Watch

The HSA Opportunity for Retirement Advisors Watch

Complying with Impartial Conduct Standards under the DOL’s Fiduciary Rule Watch

Theory in Action: Asset Manager Solutions to Address the Retirement Income Challenge Watch

DOL Fiduciary Rule Finds New Life in Rule Extension Watch

Filling the Void in Guaranteed Retirement Income Watch

The Regulators are Setting Their 2017 Priorities. Are You? Watch

The Continuing Fiduciary Trend and How the AIF Designation Fits In Watch

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