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.
Regulating Conflicted Advice: Is The Rulemaking Process Working?
Blaine Aikin, AIFA®, CFP®, CFA®, Executive Chairman, Fi360
Duane Thompson, AIFA®, Senior Policy Analyst, Fi360
October 22, 2019
In recent years an increasing number of academic studies have fueled the debate over the cost to investors of conflicted investment advice. In proposing new rules, federal regulators are required to assess the costs and benefits of their proposals. In addition to in-house analyses, agency economists also rely heavily on academic research to advance new rules. So what is the true cost of conflicted advice? There are no simple answers. Fi360 Executive Chairman Blaine Aikin, AIFA®, CFA, CFP® and Senior Policy Analyst Duane Thompson, AIFA®, take on the task of reviewing the most recent academic research and the SEC’s own cost-benefit analysis of Regulation Best Interest for clues. They then assess whether the facts are likely to matter to investors, regulators and the courts. Join us as we review the evidence and assess the implications of the costs of conflicts.
Download Webinar Slides
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.
Download Webinar Slides
Watch
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.
Download Webinar Slides
Watch
Download Webinar Slides
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
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
2016 a Huuuuge Year for the Fiduciary Standard
Watch
IRA Rollover Fee Study Early Insights
Watch
What the Upcoming Election Means for Advisors
Watch
Research Trends for Recordkeepers Webinar
Watch
Gaining a fiduciary edge with AIF Training & Designation - Principal
Watch
Putting the investment policy statement at the center of your fiduciary process
Watch
Cybersecurity: What advisors need to know about protecting data
Watch
Fiduciary Focus – Collective Investment Trusts Capturing Assets and Attention
Watch
Fee Benchmarker Demo – Benchmarking Your Advisory Fees and Services for 401(k) Plans
Watch
Compensation, conflicts, and best practices under the DOL’s Fiduciary Rule
Watch
DOL Fiduciary Rule and Putting Investors First
Watch
Rethinking Target Date Funds: Who Needs Them and How to Compare Them
Watch
The DOL’s Fiduciary Rule: What’s in it and what does it mean for advisors?
Watch
Social Security and Why We Truly May Be Facing a Retirement Crisis
Watch
Keeping Your Mind on Money While Listening to Matters of the Heart: Fiduciary Heuristics for ESG Inv
Watch
The Fiduciary Year in Review
Watch
Understanding Reasonableness and Using Benchmarking to Avoid the Race to the Bottom
Watch
An Update on the DOL’s Fiduciary Rule Proposal
Watch
Viewing healthcare through a finance and a fiduciary lens
Watch
Understanding Risk from a Fiduciary and Behavioral Standpoint
Watch
Fiduciary Essentials for DC Plans: Why You Should Consider Training for Your Plan Sponsor Clients
Watch
NQDC in the “Real World”
Watch
Why maintaining the IPS is the most important duty a fiduciary performs
Watch
The New Fiduciary Proposal…It’s out and we’re talking about it
Watch
ERISA Litigation and Enforcement: The Role of the Independent Fiduciary and Best Practices for Finan
Watch
The Seven Core Principles Every Fiduciary Should Know and Follow
Watch
Managing Client Expectations using an Investment Policy Statement
Watch
Benchmarking & Demonstrating Value in the Age of Reasonableness
Watch
Advisor Payments and Conflicts of Interest
Watch
Understanding and Using the CRFP (Consultants Review of Fiduciary Practices)
Watch
The Case for Rethinking TDFs as QDIAs
Watch
A Fiduciary Approach to Conflicts of Interest and Risk Governance
Watch
The Fiscal Cliff and what advisors need to know
Watch
Disclosures, Duties and Traps: What You Need to Know to Act Now
Watch
Understanding the Distinctions: Suitability vs. Fiduciary; Compliance vs. Fiduciary Culture
Watch
The Impact of the Broker-Dealer Fiduciary Standard on Financial Advice
Watch
Asset allocation for volatile markets
Watch
A fiduciary approach to alternative investments
Watch
A Fiduciary Approach to Risk management / Life Insurance Planning
Watch
The Fiduciary Trend: The Combined Effects of the Proposed Advice Regulation and 408(b)(2)
Watch
Building an effective and compliant social media program for advisors
Watch
The New Era of Financial and Fiduciary Regulation
Watch
Monitoring client and investment fees
Watch
Understanding the different types of fiduciaries and what it means for your business model
Watch
Top Issues to Include in your 2009 Year-end Review
Watch
The Converging Worlds of Brokers and Advisors as Fiduciaries Under Regulatory Reform
Watch
The Promise and Prospect of a New Fiduciary Environment
Watch
Fiduciary Lessons Learned from Scoundrels and Thieves
Watch
Uncovering Trends in Uncertain Times
Watch
