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.
Step 2 of the Fiduciary Process: Formalizing the Investment Strategy
Rich Lynch, AIFA®, Director, Fi360
Bennett Aikin, AIF®, VP, Designations, Fi360
August 15, 2019
Armed with an understanding of the client’s objectives and financial situation, the second step of the fiduciary process is to build and formalize the investment strategy for the client’s portfolio. Broadly speaking, this involves establishing proper portfolio diversification and preparing an effective investment policy statement.
This webinar provides an overview of the prudent process an advisor should follow to arrive at a proper investment allocation strategy to best suit the needs of the investor. This session is appropriate as both an introduction to fiduciary responsibility 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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What Crayola Color of 3(16) Does Your Vendor Provide
Patrick Curran, QPA, AIFA®, Director of Institutional Retirement Consulting, Unified Trust Company
June 28, 2019
Within the retirement services industry, we are comfortable with the complexity of the requirements and services made available to clients. However, ‘basic’ to us is anything but ‘basic’ to our clients. In fact, it can be quite confusing. We do funny things in our industry pertaining to marketing. The trend that’s occurred in recent years is to take sections of ERISA and turn them into services and marketing terms.
We’ve all heard them; 3(21), 3(38) and the latest iteration, 3(16). As a result, there is even confusion within the industry surrounding what constitutes a ‘3(16) administrator’ and what falls into ‘3(16) services.’ This is a challenge, but also an opportunity, for advisors to be the resource that helps sponsors determine what menu of services are needed to achieve their goals and assist them with finding service providers best address those needs.
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Reg BI Cometh!
Blaine Aikin, AIFA®, CFP®, CFA®, Executive Chairman, Fi360
Duane Thompson, AIFA®, Senior Policy Analyst, Fi360
June 18, 2019
After one false start followed by nearly a year of anticipation, the SEC Commissioners have finally adopted a new standard for investment recommendations. Regulation Best Interest (Reg BI) and its accompanying rules and forms will have a significant impact not only on broker-dealers, but also for registered investment advisers and investors.
In this webinar, we parse the details of the newly adopted regulations, including what’s new, what was expected, and what surprised us. We also discuss what we can expect for both organizations and advisors as the industry prepares for compliance.
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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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2016 a Huuuuge Year for the Fiduciary Standard
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IRA Rollover Fee Study Early Insights
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What the Upcoming Election Means for Advisors
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Research Trends for Recordkeepers Webinar
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Gaining a fiduciary edge with AIF Training & Designation - Principal
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Putting the investment policy statement at the center of your fiduciary process
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Cybersecurity: What advisors need to know about protecting data
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Fiduciary Focus – Collective Investment Trusts Capturing Assets and Attention
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Fee Benchmarker Demo – Benchmarking Your Advisory Fees and Services for 401(k) Plans
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Compensation, conflicts, and best practices under the DOL’s Fiduciary Rule
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DOL Fiduciary Rule and Putting Investors First
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Rethinking Target Date Funds: Who Needs Them and How to Compare Them
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The DOL’s Fiduciary Rule: What’s in it and what does it mean for advisors?
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Social Security and Why We Truly May Be Facing a Retirement Crisis
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Keeping Your Mind on Money While Listening to Matters of the Heart: Fiduciary Heuristics for ESG Inv
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The Fiduciary Year in Review
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Understanding Reasonableness and Using Benchmarking to Avoid the Race to the Bottom
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An Update on the DOL’s Fiduciary Rule Proposal
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Viewing healthcare through a finance and a fiduciary lens
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Understanding Risk from a Fiduciary and Behavioral Standpoint
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Fiduciary Essentials for DC Plans: Why You Should Consider Training for Your Plan Sponsor Clients
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NQDC in the “Real World”
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Why maintaining the IPS is the most important duty a fiduciary performs
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The New Fiduciary Proposal…It’s out and we’re talking about it
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ERISA Litigation and Enforcement: The Role of the Independent Fiduciary and Best Practices for Finan
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The Seven Core Principles Every Fiduciary Should Know and Follow
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Managing Client Expectations using an Investment Policy Statement
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Benchmarking & Demonstrating Value in the Age of Reasonableness
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Advisor Payments and Conflicts of Interest
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Understanding and Using the CRFP (Consultants Review of Fiduciary Practices)
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The Case for Rethinking TDFs as QDIAs
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A Fiduciary Approach to Conflicts of Interest and Risk Governance
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The Fiscal Cliff and what advisors need to know
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Disclosures, Duties and Traps: What You Need to Know to Act Now
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Understanding the Distinctions: Suitability vs. Fiduciary; Compliance vs. Fiduciary Culture
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The Impact of the Broker-Dealer Fiduciary Standard on Financial Advice
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Asset allocation for volatile markets
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A fiduciary approach to alternative investments
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A Fiduciary Approach to Risk management / Life Insurance Planning
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The Fiduciary Trend: The Combined Effects of the Proposed Advice Regulation and 408(b)(2)
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Building an effective and compliant social media program for advisors
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The New Era of Financial and Fiduciary Regulation
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Monitoring client and investment fees
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Understanding the different types of fiduciaries and what it means for your business model
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Top Issues to Include in your 2009 Year-end Review
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The Converging Worlds of Brokers and Advisors as Fiduciaries Under Regulatory Reform
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The Promise and Prospect of a New Fiduciary Environment
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Fiduciary Lessons Learned from Scoundrels and Thieves
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Uncovering Trends in Uncertain Times
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