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.
PTE 2020-02, IRA Rollovers and Beyond: How to Comply by December 20 Deadline
Jason Roberts, CEO, Pension Resource Institute
Steve Niehoff, COO, Pension Resource Institute
John Faustino, Head of Fi360, Broadridge Fi360 Solutions
Dave Palascak, Software Product Manager, Broadridge Fi360 Solutions
September 15, 2021
In response to the DOL’s PTE 2020-02, financial institutions and investment professionals will need to address new IRA rollover and account transfer requirements. Join us for this webinar to learn how to prepare your firm for the coming changes.
At a high level, this webinar reviews PTE 2020-02 requirements for financial institutions and investment professionals, including:
- How to analyze ERISA plan/IRA transfers, most commonly IRA rollovers, with a fiduciary standard of care
- What factors are required to be considered and what additional factors may be considered relevant to the client’s best interest
- Options on how to document and disclose details of each ERISA plan/IRA transfer analysis
- Best practices on performing an annual retrospective review to detect violations and achieve compliance
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How to Address Inflation Risk When Investing for Retirement
Mathieu Pellerin, PhD, Senior Researcher, Dimensional Fund Advisors
John Resurreccion, AIF, CFP, Regional Director, Dimensional Fund Advisors
September 09, 2021
This session explains how inflation risk affects plan participants at different life stages, with a focus on retirees and near-retirees. The session first covers the behavior of different asset classes in an inflationary environment. We then explore how an income-focused allocation can help plan participants protect their retirement consumption from inflation, as well as other relevant risks such as those related to changes in interest rates and equity markets.
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Responsibility Works: Generating Long-Term Wealth through Sustainable Investing
Mary Green, VP, ESG & Hermes Client Portfolio Manager
Kary Moore, SVP & Senior Corporate Counsel at Federated Hermes
August 19, 2021
The pandemic has illuminated social issues, igniting investor interest in environmental, social and governance (ESG) investing. As a result, now more than ever, the use of ESG considerations has become a vital part of fundamental securities analysis, valuation, pursuit of long-term risk-adjusted returns, and even investors’ fulfillment of their fiduciary responsibilities. This session is tailor-made to increase your ESG fluency and highlight the benefits of authentic ESG integration and active ownership as drivers of long-term risk-adjusted returns for beneficiaries.
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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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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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