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.

Reg BI Cometh!

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

Duane Thompson, AIFA®, Senior Policy Analyst, Fi360

June 18, 2019

After one false start followed by nearly a year of anticipation, the SEC Commissioners have finally adopted a new standard for investment recommendations. Regulation Best Interest (Reg BI) and its accompanying rules and forms will have a significant impact not only on broker-dealers, but also for registered investment advisers and investors.

In this webinar, we parse the details of the newly adopted regulations, including what’s new, what was expected, and what surprised us. We also discuss what we can expect for both organizations and advisors as the industry prepares for compliance.

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Step 1 of the Fiduciary Process: Organizing the Client Engagement

Rich Lynch, AIFA®, Director, Fi360

Bennett Aikin, AIF®, VP, Designations, Fi360

May 16, 2019

Acting as a fiduciary in the role of a professional service provider requires being organized. You and all other parties associated with the account need to be aware of your responsibilities, have complete documentation of your relationships, identify and address conflicts of interest, and ensure that assets have sufficient protections from theft and embezzlement. These steps, taken at the outset of the engagement, ensure that the relationship has a strong foundation upon which to build a successful investment program that is in the best interests of the investors and beneficiaries.

This session is an overview of the first step in a prudent investment process and a discussion on what advisors and other service providers need to consider when acting in a fiduciary capacity. It is appropriate as both an introduction to fiduciary responsibility for those who are inexperienced with acting as a fiduciary and as a refresher for experienced advisors who have fiduciary training and a track record of supporting fiduciary clients.

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Latest ERISA Court Actions Offer New Guidance to Fiduciary Practitioners

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

Duane Thompson, AIFA®, Senior Policy Analyst, Fi360

April 24, 2019

After an onslaught of new fiduciary breach claims hit the financial services industry and universities three years ago, most of the four-dozen-plus ERISA class-actions are still working through the legal system as fiduciaries increasingly search for answers.  A handful of cases have gone to trial, with many going on to appeal, and with a substantial number reaching settlement, sometimes just hours before trial.  Combined, these latest court actions offer valuable lessons on prudent investment management practices covering a wide range of specific claims that go beyond the excessive fee label typically applied to these cases.  Some of the related claims include failure by the plan’s investment committee to prudently select and monitor or replace underperforming investments – including money market instead of stable value funds – failure to use lower-cost share classes for the same fund, and imprudent selection of active versus passive investments.  The list goes on. Helping to sort out the most important takeaways from this sheer volume of litigation are Blaine Aikin, AIFA®, CFA and CFP®, Executive Chairman of Fi360, and Duane Thompson, AIFA®, Senior Policy Analyst.  They provide insights into how thoughtful fiduciary advisors can improve their own due diligence processes and avoid some of the pitfalls uncovered in this latest wave of ERISA litigation – while at the same time more effectively serving the best interests of their institutional and retail clients.

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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

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

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

Let’s get to work. Connect