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.

Ready for Next:  What will be the impact of proposed tax reform on the utilization, design and funding strategies of Non-Qualified plans

Kristi Barens, Principal at Mullin, Barens, Sanford

Rhonda L. Miller, ACS, SVP Non-Qual Consulting at Prudential Retirement

Mary K. Samsa, JD, Partner – Tax at Akerman LLP

July 28, 2021

In today’s highly competitive and ever-changing landscape, organizations are seeking new ways to retain key employees and recruit top talent. Having the ability to compensate key members without surrendering control of the business allows an employer to financially reward an executive without having to make that person a partner or part-owner of the business. KPMG conducted a survey in September finding that Talent Recruiting, Reward and Retention went from eleven to the number one spot on the list of what is keeping CEOs awake at night. Non-Qualified Plans are a solution that is appealing to business owners of all sizes as they offer unique benefits, like flexibility and additional deferral of money that qualified plans don’t specifically for mission critical employees.  Due to their complex design, non-qualified plans provide advisors direct access to key decision makers and help strengthen the relationships.  With few advisors specializing in these plan types, there is a unique opportunity for advisors and asset managers to potentially gather and grow assets to differentiate themselves.  As the Biden Administration moves forward with their policy proposals, it is important to understand and evaluate the impacts that proposed tax law changes would have 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

Blaine Aikin, AIFA®, CFP®, CFA®, Subject Matter Expert, Fiduciary Insights

Duane Thompson, AIFA®, Senior Policy Analyst, Broadridge Fi360 Solutions

July 22, 2021

As the Biden Administration wraps up its initial work filling key agency posts, pension and wealth advisers should expect to see a plethora of new rule proposals coming through the regulatory pipeline.  Those closely following the Washington scene may recognize some of these initiatives as regulatory ‘comebacks’ since many of the rules that fiduciary experts Blaine Aikin, AIFA®, CFP®, CFA and Duane Thompson, AIFA® will cover are familiar regulatory territory.  Some of the rollbacks to be reviewed are major revamps of rules governing ESG investing and conflicted investment advice.  Attendees also will get the latest on pending retirement legislation, SEC plans for enforcing Regulation Best Interest, and the ongoing wave of ERISA class-actions affecting the pension advice sector.  Please join Aikin and Thompson as they reprise the turbid Washington scene and offer insights into how these policy initiatives may affect the fiduciary standard governing your practice.

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Watch

ESG and Qualified Plans:  The Who, What, When, Where, Why (and, Most Importantly, How) ERISA Plan Fiduciaries Prudently Consider ESG-Related Investments

Bradford Campbell, Partner, Faegre Drinker Biddle & Reath LLP

Kary Moore, Senior Corporate Counsel and Senior Vice President, Federated Hermes

July 15, 2021

While DOL has permitted environmental, social and governance (“ESG”)-like investments by ERISA plans since 1994, the recent “Financial Factors” regulation raised new questions and concerns for ERISA plan fiduciaries.  Perceived to be anti-ESG (though the final rule actually was NOT), too many fiduciaries have been left confused and uncertain about the prudence of ESG-related investments.  The Biden Administration is moving aggressively to encourage prudent ESG investing, suspending enforcement of the Financial Factors rule and announcing that it will replace the Rule with a new regulation to be proposed in September.  This session will examine how DOL has historically viewed ESG-like investments, what the Financial Factors rule actually did, and how fiduciaries should consider ESG investments during the “in-between” period where enforcement of the old rule is suspended but the new rule is not yet written.  Join us to learn how to address ESG-related investments today, and what might come next. 

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Watch

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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

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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

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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

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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

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IRA Rollover Fee Study Early Insights Watch

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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

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