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.

Introduction to Fiduciary Prudent Practices

Rich Lynch, AIFA®, Lead AIF® Instructor, Broadridge Fi360 Solutions

Bennett Aikin, AIF®, Director of Designations, Broadridge Fi360 Solutions

February 18, 2021

The vast majority of the world’s liquid investable wealth is in the hands of investment fiduciaries, and the success or failure of investment fiduciaries can have a material impact on the fiscal health of any country. The timeless principles that underlie the fiduciary standard, such as loyalty and care, provide the basis for trustworthy conduct by those who are entrusted with other peoples’ money. Fiduciary laws and regulations serve to define the details of prudent investment processes. Those prudent processes make adherence to the core fiduciary principles practical and reliable.

In this session, we will introduce you to the Prudent Practices®, substantiated in law and regulation, that serve as a guide to investment fiduciaries striving to fulfill their fiduciary obligations. By following a structured process based on the Practices, the fiduciary can be confident that critical components of an investment strategy are properly implemented and followed.

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Lost at Sea – ERISA safe harbors expose participants to increased risk

Dan Long, DoubleLine

Andy Larson, Retirement Learning Center

January 21, 2021

Popular ERISA features inadvertently expose participants to increased levels of investment risk and retirement insecurity. In addition, investment defaults, commonly known as QDIAs, have promoted a one-size-fits-all investment approach. This presentation explores how this situation evolved and the importance of changing this mind-set and trajectory. Next, we explore alternatives available to provide plan participants the support and direction needed to ensure appropriate retirement income planning and investment decision-making. Lastly, we look at the steps plan committees can take to assess and implement these solutions.

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Impact Analysis: Unpacking the DOL’s Investment Advice Exemption for Banks & Registered Investment Advisers

Jason C. Roberts, CEO, Pension Resource Institute & Retirement Law Group

Steve Niehoff, COO, Pension Resource Institute

December 18, 2020

Now that the DOL has published its long-awaited final regulation designed to fill the void left when the Fifth Circuit Court of Appeals vacated the Obama-era “fiduciary rule.”  The rule comes in the form of a Prohibited Transaction Exemption (PTE) that is technical and nuanced, and its impact on banks and RIAs cannot be overstated.  Indeed, among other requirements, the conditions of the exemption must be satisfied any time one of their representatives recommends an IRA rollover.

Steve and Jason break down the PTE, discuss strategies for compliance and provide actionable takeaways for attendees.  

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Watch

2020 Fiduciary Year in Review and A Look Ahead Watch

Orlando’s Outlook: 2020 Post-Election Update Watch

IRAS: Goldmine or Minefield? Watch

Seize Today. Secure Tomorrow: A Field Guide to Social Security Watch

Orlando’s Outlook: 2020 Election – Character vs. Economy Watch

Beyond Money: The Rest of Retirement Watch

MIT AgeLab: 8,000 Days of Retirement Watch

It’s Been a Hot Summer for the Regulation of Advice, and There’s No Sign of a Cooldown Watch

On Beyond Fiduciary: Ascending through the Fire with an Evolving Fiduciary Governance Approach Watch

Planning More Efficiently for Longevity Watch

Build-a-Brand Workshop Watch

Building The Retirement Tier Watch

Put Your Best Fund Forward: Research-Backed Strategies to Improve Retirement Plans Watch

The Growing Appeal of CITs in Retirement Plans Watch

Market Intelligence: A comprehensive review of today’s investment landscape Watch

A Deep Dive Into Planning for the Client with a Disability Watch

Retirement Firm M&A: What You Need to Know Watch

Cash Balance Plans: The Smart Choice for Successful Business Owners Watch

Understanding a Limited Scope Audit & What Can Go Wrong Watch

ESG Integration Best Practices Watch

Rabbi Trusts Benefits Features and Key Considerations Watch

Stable Value: Why This Time is Different Watch

Financial Inclusion for People with Disabilities and Caregivers Watch

Investing Amid a Crisis Watch

2020 CEFEX General Meeting DAY 2 Watch

2020 CEFEX General Meeting DAY 1 Watch

How to Build Your Reputation: Survey Findings and Implications Watch

A Fiduciary Guide to the CARES and SECURE Acts Watch

The Fiduciary’s Role in the Rebirth of a Tribal Nation Watch

Artificial Intelligence Fiduciary: Automate All Things Ordinary, So You Can Be Extraordinary Watch

Competitive & Compliant Strategies for Growth Watch

Serving as Fiduciary for Nonprofits and Foundations Watch

To MEP or Not to MEP, That Is the Question Watch

Advisor Considerations for HSAs and ERISA Watch

RIA Disclosures: Form CRS/ADV Part 3, Share Class Disclosures, and More Watch

The SEC’s Investment Adviser Interpretation and Reg BI: The (Partial) Convergence for RIAs and Broker-Dealers Watch

Reg BI and Other Trends for Fiduciary and Professionalism Watch

2020 State of the Fiduciary Watch

Market Perspectives for Fiduciaries Watch

Proving Prudence & Participant Loyalty: A Plan Committee Defends Itself Watch

The Advisor Perspective on HSAs Watch

Step 4 of the Fiduciary Process: Monitoring the Client Engagement Watch

Will Policymakers’ Vision for the Fiduciary Standard Be 20/20 in 2020? Watch

HSAs – How advisors can help connect health and wealth Watch

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

Regulating Conflicted Advice: Is The Rulemaking Process Working? Watch

Step 2 of the Fiduciary Process: Formalizing the Investment Strategy Watch

What Crayola Color of 3(16) Does Your Vendor Provide Watch

Reg BI Cometh! Watch

Step 1 of the Fiduciary Process: Organizing the Client Engagement Watch

Latest ERISA Court Actions Offer New Guidance to Fiduciary Practitioners Watch

Leveraging Tools & Technology to Scale Fiduciary Processes Watch

Introducing the Latest Update to Fi360’s Prudent Practices Watch

Demystifying Providing Advisory and Planning Services to Women Watch

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

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

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

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

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

Let’s get to work. Connect