Join our mailing list to get notified about upcoming webinars covering industry trends, fiduciary responsibility and cutting-edge technology that will keep you ahead. Many of the webinars also offer continuing education credit for Fi360, IWI, and CFP Board designations when you attend live.

Explore a few past webinars below to see what you can expect.

Update on PTE 20-02 after DOL Drops Appeal + Tips & Traps for Retrospective Review

Jason Roberts
Chief Executive Officer
Pension Resource Institute

Annie Messer
President, Member Relations
Pension Resource Institute

Steve Niehoff
Chief Operating Officer
Pension Resource Institute

June 01, 2023

This webinar begins by describing the changes to the PTE as a result of DOL’s dismissal of its appeal in a U.S. District Court, and discusses the anticipated proposal of a new fiduciary definition under ERISA.

Preparing and certifying an annual Retrospective Review is required to comply with DOL PTE 20-02. Although it is similar to other compliance testing, there are traps that are unique to DOL rules. In this session, the presenters also discuss some tips to streamline Retrospective Review process that will help firms save time and manage risk.

Learning Objectives:

  • Understand the implications of the DOL’s decision to drop its appeal
  • Understand considerations for managing risk during the period before the new fiduciary rule proposal
  • Identify key elements of a Retrospective Review, required to be completed as a condition of DOL PTE 20-02
  • Develop a plan for sampling files and testing for compliance
  • Streamline testing leveraging their firm’s policies & tools, as applicable
  • Organize testing into a report for Senior Executive Officer certification

SECURE Act 2.0: Encouraging New Plan Creation

May 03, 2023

The Setting Every Community Up for Retirement (SECURE) Act 2.0 offers financial professionals an unprecedented opportunity to expand their book and stack their AUM.  This webinar explains the how expansion of tax credits, the creation of a “starter 401k” plan type, and new auto-enrollment requirements are set to generate explosive growth in the formation of new plans and an increase in retirement savings.


Fiduciary Access to Digital Assets

Kary A. Moore
Assistant General Counsel, Senior Vice President
Federated Hermes

Nora Geig Chatha
Shareholder Co-chair,
Fiduciary Services & Risk Management Group Chair, Estates & Trusts Group Member
Tucker Arensberg

April 27, 2023

Recently, there has been a keen interest in understanding the fiduciary implications of accessing clients’ “digital assets.” Digital assets are permeating people’s lives and relationships, including relationships with their fiduciaries and service providers. Almost anyone who uses the internet or has a smartphone has digital assets, whether they realize it or not. Banks, trust companies, and financial professionals acting as fiduciaries on behalf of clients or dealing with the other fiduciaries appointed by their clients must understand the issues that arise when fiduciaries need access to the client’s digital assets. Clients need to understand and appreciate that their fiduciaries will need both information about their digital assets and the authority to use the information. One without the other is insufficient.


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