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.
Whatever Happened to the Class of 2016?: Lessons Learned from ERISA Class Action Lawsuits
Blaine Aikin, AIFA®, CFP®, CFA®, Founder & Principal, Fiduciary Insights
Duane Thompson, AIFA®, Senior Policy Analyst, Broadridge Fi360 Solutions
November 18, 2021
The latest wave of ERISA class-actions involving excessive fees and underperformance claims over the last decade have resulted in an estimated $1 billion-plus in settlements, and untold millions in legal costs for plan fiduciaries. Out of the several hundred class-action complaints that have been filed since 2016, Fi360’s two presenters, Blaine Aikin, AIFA®, CFP®, CFA, and Duane Thompson, AIFA®, look to this seminal year for lessons that can be applied today in improving fiduciary practices. Aikin and Thompson look closely at key datasets for trends. Are the class-actions moving downstream to smaller plans? Are pension advisers increasingly being named as defendants? Some clues can be found comparing 2016 to 2021 filings, but there are no easy answers. Eight of the 52 cases filed in 2016 remain pending. One is on appeal to the Supreme Court with roughly a dozen pending cases put on hold by district judges awaiting this widely anticipated decision that may result in a tougher pleading standard for plaintiffs going forward and a clearer resolution to the question of whether the use of higher share classes of the same fund is imprudent. Although only a handful of the 2016 complaints have resulted in bench trials, and only two Supreme Court decisions impacting the fiduciary standard since 2015, there are many ‘clues’ coming out of non-financial settlement conditions and other filings from the 2016 class-actions that should help ERISA fiduciaries – including their advisors -- better understand how to improve their own fiduciary decisions, including monitoring processes.
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Respect: The Ascendancy of Millennials & How the Future of Finance is More Female
Steven Chiavarone, CFA, Vice President, Portfolio Manager, Equity Strategist, and Head of Multi-Asset Solutions at Federated Hermes
November 11, 2021
Join us for a session discussing the rise of the millennial generation. You’ll get a better understanding of who the millennial generation is and what they are focused on, their impact on economic markets, as well as the key role millennial women play in both the economy and financial industry.
Topics will include:
Millennial impact on driving a secular bull market
When the millennial focus on saving for the future will peak
Female millennials, their needs, and key areas where they are likely looking for financial help
Traits millennials look for in a financial advisor and the tools and services they value
Importance of incorporating ESG investing to attract millennial investors
How to reach high net worth millennials
Attractive investment vehicle options and how stock prices are a function of millennial fundamentals and the buy/sell decisions of market participants
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Yes, You Should Consider Commodities In A Retirement Plan
Brad Klein, Co-Founder CoreCommodity Management
Bob Hyman, Portfolio Manager, CoreCommodity Management
Matt Rutig, Division Director-Product Manager
November 04, 2021
A series of phenomena that have historically preceded commodity price appreciation may be pointing to the beginning of a multiyear structural bull market. If you’re thinking about the potential impact on rising inflation on your clients’ portfolios and a weaker US dollar among other factors, you may be interested in a broad-based commodities exposure.
In this webinar, CoreCommodity Management, LLC Co-Founder, Brad Klein, Portfolio Manager, Bob Hyman and Division Director-Product Manager, Matt Rutig discuss:
Inflation on the move
Tight supplies for most major natural resources
New era of commodity-intensive government spending
Renewed focus on infrastructure spending
Resurgence in Chinese demand
Uniform momentum across all commodity sectors
US dollar entering new cyclical bear market
Protecting retirement assets against inflation - Implementation, what to look for and what to look out for
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Cybersecurity Risk on the Rise: Is your Firm’s Framework in Place?
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State of the Fiduciary Standard - National Fiduciary Day 2021
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Mastering and Practicing ESG Investing
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Elevating the Financial Wellness Discussion
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Impact of Employee Health on Business Success
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PTE 2020-02, IRA Rollovers and Beyond: How to Comply by the Deadline
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How to Address Inflation Risk When Investing for Retirement
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Responsibility Works: Generating Long-Term Wealth through Sustainable Investing
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PTE 2020-02, IRA Rollovers and Beyond: How to Comply by the 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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