State of the Fiduciary Standard - National Fiduciary Day 2021

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

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

October 14, 2021

Our speakers will provide a retrospective review of recent policy and court decisions impacting the fiduciary standard for investment advice.  Our presenters will look at current events through the two core duties of an investment fiduciary – the duties of loyalty and care – in apprising the application of these duties under current law.  They will cover implementation of Regulation Best Interest, a quasi-fiduciary standard for retail advice by brokers, and recent interest by the Department of Labor in revamping the definition of a 3(21) fiduciary advisor under ERISA, including potential new safe harbors for managing conflicts of interest and applying best practices when providing rollover advice in a retirement planning context. 

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