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

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

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