Resources

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.

Introducing the Latest Update to Fi360’s Prudent Practices

Rich Lynch, AIFA®, Director, Fi360

Bennett Aikin, AIF®, VP, Fi360

January 30, 2019

Fi360 is pleased to introduce the latest iteration of its Prudent Practices for Investment Fiduciaries. Originally developed in 2002 to help clarify the responsibilities that an investment fiduciary must manage, this is the third major review and update undertaken to ensure the Practices continue to reflect the duties an investment fiduciary is expected to be able to perform. This is the first update to follow a process designed explicitly to conform with the ISO 17024 standard and requirements of the American National Standards Institute (ANSI). This webinar describes that process, provides an overview of the Practices and their significance, highlights where changes were made to the Practices, and covers what this means for the AIF® designation, AIF® designees, and future candidates.  

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Demystifying Providing Advisory and Planning Services to Women

Alexandra Lundgren, Tree City Advisors, LLC

January 16, 2019

Working with women is different than working with men, both in the boardroom and as individual clients. This webinar provides insight into many of the 'whys' of the decision-making process to help you recognize costly business and behavior mistakes you likely don't even know you are making. These unknown mistakes not only cost you immediate business, but referrals as well.

The majority of women do business with an individual based on the recommendations of others. Missing this referral base is huge. According to a 2015 survey by Fidelity Investments, 92 percent of women surveyed want to learn more about financial planning, 75 percent want to learn more about money and investing and 83 percent want to get more involved in their finances - that's a lot of money.

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Fiduciary Year in Review: What Advisors Need to Know about the Evolving Fiduciary Landscape

Blaine Aikin, AIFA®, CFP®, CFA, Executive Chairman, Fi360 and CEFEX

Duane Thompson, AIFA®, Senior Policy Analyst, Fi360

December 19, 2018

As another eventful year comes to an end, fiduciaries have witnessed historic changes in the market conduct standards for investment advice.  In March, courtesy of a surprise decision by the Fifth Circuit Court of Appeals, the DOL’s long-contested fiduciary rule was vacated.  Just a month later, the SEC released a new, quasi-fiduciary rule for brokers providing retail investment advice. State insurance commissioners continued their work to plug the gap for annuity transactions with an updated ‘best interest’ rule while New York and New Jersey moved ahead with fiduciary rules of their own.  At the same time, nearly 40 excessive fee lawsuits filed under ERISA against major universities and financial services firms’ retirement plans continued to work their way through the legal pipeline.  And there was more!  Our final Fi360 webcast of 2018 reprises tumultuous events and offer insights into how this translates into re-shaping the contours of the fiduciary standard for advisors in 2019 and beyond.

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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

An Introduction to Stable Value Funds Watch

How much is your reputation worth? Watch

RFP Best Practices 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

Step 2 of the Fiduciary Process: Formalizing the Investment Strategy 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

Step 1 of the Fiduciary Process: Organizing the Client Engagement 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

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