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Fiduciary Resource Center



Filling the Void in Guaranteed Retirement Income

Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Director of Fi360
John Faustino, AIF®, Chief Product and Strategy Officer at Fi360

Date and Time: March 28, 2017 from 2:00-3:00 p.m. ET

Description: With the demise of defined benefit plans, questions regarding the viability of Social Security, and the 2008 market downturn still fresh in our minds, US investors are rightly concerned with how they’ll pay for retirement (and more specifically, outliving their assets). The burden to plan for retirement has moved squarely to the shoulders of investors, but only half work with financial advisors or planners. How will the masses prepare? About 80% of US employees have access to a defined contribution plan, 89% of those who work for companies with over 500 employees.

We hope, and believe, evolution of guaranteed income (or guaranteed income ‘like’) investments within defined contribution plans will continue as a means to address this dire need.

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Continuing education: Accepted for one hour of CE by fi360 for the AIF, AIFA, and PPC designations. Acceptance by CFP Board is pending.




2016 a Huuuuge Year for the Fiduciary Standard

Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Chairman of Fi360
Duane Thompson, AIFA®, Senior Policy Analyst at Fi360

Date recorded: Thursday, December 15, 2016

2016 was a watershed year for the fiduciary standard. Despite active efforts to derail the Department of Labor’s flagship regulation for retirement advice, it was released in April after nearly six years of contentious debate and to-date survives intact despite legal challenges and a failed congressional resolution to derail it. But the debate isn’t over. Although the DOL’s conflict of interest rule is set to go into effect in April, the surprise upset in the presidential election could yet change the dynamics for implementation in 2017.

Join us for an end of year recap and look ahead at what 2017 will bring for the DOL’s fiduciary rule, as well as other key highlights in Congress, at the SEC, and in the states -- events that will have a long-term impact on the fiduciary standard and your practice. We will also look at whether the fiduciary momentum is too strong within the industry to be turned back, even if lawmakers and regulators soften or reverse course. Make sure to bring your questions. Our experts will be happy to respond and offer a few predictions for the coming year!

Putting the Investment Policy Statement at the Center of Your Fiduciary Process

Rich Lynch, AIFA®, Director at Fi360
John Faustino, AIF®, Chief Product and Strategy Officer at Fi360

Date: September 13, 2016 from 3:00 – 4:00 p.m. ET

At the heart of managing a prudent investment process is the investment policy statement. Done right, it is the blue print for any fiduciary portfolio and the game plan for carrying out the fiduciary process. In this session, we will first cover why the IPS is the critical document for managing the investment process and how thoughts and opinions on the IPS have evolved. Then we will look at the structure and contents of an effective IPS. Finally, we will provide guidance on practical aspects of operationalizing the IPS, such as managing consistent IPS documents across clients, using the IPS to manage investment workflows, and the ongoing maintenance required to keep the IPS up to date.

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Cybersecurity: What advisors need to know about protecting data

Blaine F. Aikin, AIFA®, CFA®, CFP®, AIF®, Executive Chairman of Fi360
Wes Stillman, Founder and President, Rightsize Solutions

Date: August 23, 2016 from 2:00 – 3:00 p.m. ET

Cybersecurity is a topic everyone is becoming more familiar with. When data breaches occur to major companies, it causes major headlines and major headaches. But advisors shouldn’t feel complacent that they’ll slide under the radar. With access to personal information about their clients and less resources to devote to data protection, advisors make for an enticing target. In this session, we will first make the case for a fiduciary imperative to take cybersecurity seriously and review the latest guidance form regulators. Then our guest presenter will give an overview of vulnerabilities most advisors share and the steps any advisor can take now to better protect themselves from attack.

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