Fi360 Fiduciary Talk 42:The AIF, is it a marketing tool?

Fi360's director, J. Richard Lynch, AIF^® was a guest on the 401k Study Group Radio show with Chuck Hammond discussing what the AIF^® is and how advisors should be using it.

fi360 Fiduciary Talk 41: Don’t discount the importance of disclosures

Blaine and Duane discuss the SEC’s proposed changes to public company disclosures under regulations S-K and the central role the information plays in the fiduciary process.

fi360 Fiduciary Talk 40: The Importance of the Investment Policy Statement

fi360 Senior Policy Analyst Duane Thompson discusses with Director Rich Lynch and Chief Product & Strategy Officer John Faustino why the IPS is so critical and how to effectively build and manage the IPS.

fi360 Fiduciary Talk 39: What the election means for advisors and the fiduciary standard

With the 2016 election just days away, Blaine chats with Duane about what a Clinton or Trump administration would mean for advisors, including what’s on their respective campaign platforms and turnover at the regulatory agencies. In addition, they take a look at the implications of the Congressional elections.

fi360 Fiduciary Talk 38: What advisors need to know about cybersecurity

Ben Aikin, Vice President of Learning and Development of fi360 and Wes Stillman, Founder and President of Rightsize Solutions, discuss the vulnerabilities most advisors share and the steps any advisor can take now to better protect themselves from Cyberattacks.

fi360 Fiduciary Talk 37: A Fiduciary Angle to Business Continuity?

As a fiduciary, should all advisors have emergency plans to deal with the unexpected? Blaine and Duane discuss recent state and SEC actions on business continuity rules and the case being made by the SEC to tie the rule to fiduciary duties.

fi360 Fiduciary Talk 36: Changes to the SEC Liquidity Rules for Money Market Funds

Duane and Blaine discuss the SEC's liquidity rules for money market funds and what the rule means for advisors.

fi360 Fiduciary Talk 35: The Impact of DOL’s Fiduciary Rule on Suitability Requirements

Blaine and Duane discuss how the DOL's final fiduciary rule impacts advisors who have been operating under suitability requirements associated with insurance and securities laws.

fi360 Fiduciary Talk 34: Target Date Funds and How They Are Used in QDIAs

Blaine and Duane discuss the rapid growth of TDFs as QDIAs, how advisors should consider whether TDFs make sense for their client, and how to compare TDF products.

fi360 Fiduciary Talk 33: Collective Investment Trusts Capturing Assets and Attention

Collective Investment Trusts (CITs) have been capturing lots of attention and assets lately. CITs offer retirement plan fiduciaries an attractive, generally lower-cost, alternative to mutual funds. CITs have also caught the attention of regulators and litigators. Plan fiduciaries and investment fiduciary advisors need to be well versed in CITs and how to evaluate them. In this podcast, fi360 Executive Chairman Blaine Aikin and Chief Product & Strategy Officer John Faustino discuss how CITs work, trends relating to CITs that will be important for investment fiduciaries to follow, and how to think about them when conducting due diligence.

fi360 Fiduciary Talk 32: Reverse Churning and How the DOL Addresses the Problem Under the New DOL Rule

What is Reverse Churning? This is the opposite of excessive trading in a brokerage account. These are illegal practices that pad an unethical advisors wallet. Reverse Churning occurs when an advisor places the clients assets in an advisory account, and charges an on going management fee and they get paid for not providing enough services that justify that compensation that comes in on that fee fee basis.

fi360 Fiduciary Talk 31: DOL Rule a Cultural Perspective - Sales vs Advisory Approach

Sales and advisory organizations are fundamentally different. That is the premise of the Labor Department's new conflict-of-interest rule. They have different priorities, which shape the culture and practices that exist in each. Consequently, they must be regulated differently and should be distinguishable to the public.

fi360 Fiduciary Talk 30: An interview with Sheri Fitts, President at Shoe Fitts Marketing

An interview with Sheri Fitts, President at Shoe Fitts Marketing, who was a speaker at INSIGHTS 2016. We spoke with Sheri about her conference session, Your Brand, Your Business, Your Bottomline.

fi360 Fiduciary Talk 29: An interview with Scott Reed, CEO at Hardy Reed

An interview with Scott Reed, CEO at Hardy Reed, who was a speaker at INSIGHTS 2016. We spoke with Scott about his conference session, Devil or Angel: Is There Profit in Working with Non-Profits?

fi360 Fiduciary Talk 28: An interview with Gary Sutherland, CEO of NAPLIA, and Paul Smith, SVP of NAPLIA

An interview with Gary Sutherland, CEO of NAPLIA, and Paul Smith, SVP of NAPLIA, who were speaker at INSIGHTS 2016. We spoke with Gary and Paul about their conference session, What You Need to Know About Cybersecurity.

fi360 Fiduciary Talk 27: An interview with Mike Phillips, Chief Scientist & CEO at MacroRisk Analytics

An interview with Mike Phillips, Chief Scientist & CEO at MacroRisk Analytics, who was a speaker at INSIGHTS 2016. We spoke with Mike about his conference session, Portfolio Optimization Strategy: Matching Models with Time Horizons

fi360 Fiduciary Talk 26: An interview with Mary Kathryn Campion, President at Champion Capital Research

An interview with Mary Kathryn Campion, President at Champion Capital Research, who was a speaker at INSIGHTS 2016. We spoke with Mary Kathryn about her conference session, Organize 'TMI' and Improve Portfolio Risk Management

fi360 Fiduciary Talk 25: An interview with Eric Roberge, President at Beyond Your Hammock

An interview with Eric Roberge, President at Beyond Your Hammock, who was a speaker at INSIGHTS 2016. We spoke with Eric about his conference session, Engaging Millennials - The Rubik's Cube of Financial Planning.

fi360 Fiduciary Talk 24: An interview with David Bromelkamp, President/CEO at Allodium

An interview with David Bromelkamp, President/CEO at Allodium, who was a speaker at INSIGHTS 2016. We spoke with David about his conference session, Fiduciary Investment Management for Trusts: How to Use Questions to Help Trustees.

fi360 Fiduciary Talk 23: An interview with Brian Edelman, CEO at Finanical Computer Inc, who was a speaker at INSIGHTS 2016.

An interview with Brian Edelman, CEO at Finanical Computer Inc, who was a speaker at INSIGHTS 2016. We spoke with Brian about his conference session, What You Need to Know About Cybersecurity.

fi360 Fiduciary Talk 22: The DOL’s Multi-Year Study on Retirement Saving

In late February, the DOL announced a multi-year study that would track data on the retirement savings of Americans. In this episode, fi360 Executive Chair Blaine Aikin and Senior Policy Analyst Duane Thompson discuss why this proposal drew criticism from opponents of the DOL’s fiduciary rule and what benefit the DOL can derive from the study.

fi360 Fiduciary Talk: fi360 Executive Chair Blaine Aikin interviews OWLshares co-founder and CEO Ben Webster.

fi360 Executive Chair Blaine Aikin interviews OWLshares co-founder and CEO Ben Webster. OWLshares is the first brand of exchange traded funds (ETFs) that focus on impact and environmental, social & governance (ESG) metrics.

fi360 Fiduciary Talk 20: An interview with Dr. Rui Yao, who was a speaker at INSIGHTS2016 Conference.

An interview with Dr. Rui Yao, Associate Professor at Department of Personal Financial Planning at the University of Missouri, who was a speaker at INSIGHTS 2016. We spoke with Dr. Yao about her conference session, To retire or not to retire? - Does market performance provide an answer?

fi360 Fiduciary Talk 19: Executive Summary of the DOL’s Fiduciary Rule

Blaine Aikin and Duane Thompson provide an overview of the DOL’s fiduciary rule, including what’s in the rule, how it impacts advisors, and the implementation timeline.

fi360 Fiduciary Talk 18: Interview with Fred Reish

Blaine Aikin interviews ERISA attorney Fred Reish of the Drinker Biddle law firm on the DOL’s fiduciary rule. Recorded at fi360’s INSIGHTS 2016 conference

fi360 Fiduciary Talk 17: Interview with Eugene Maloney

Blaine Aikin interviews Gene Maloney of Federated Investors on the DOL’s fiduciary rule and the current fiduciary landscape. Recorded at fi360’s INSIGHTS 2016 conference.

fi360 Fiduciary Talk 16: The Political Climate and the Presidential Politics from a Fiduciary Perspective and the Regulators

Executive Chairman Blaine Aikin and Senior Policy Analyst Duane Thompson talks about the political climate and the presidential politics from a fiduciary perspective and the regulators.

fi360 Fiduciary Talk 15: SEC Retirement Targeted Industry Reviews and Examinations Initiative

fi360's Executive Chairman Blaine Aikin and fi360's Senior Policy Analyst Duane Thompson review SEC Retirement Targeted Industry Reviews and Examinations Initiative

fi360 Fiduciary Talk 14: Class Action Lawsuits Against Fiduciary and 401(k) Plans

fi360's Senior Policy Analyst Duane Thompson and fi360's Executive Chairman Blaine Aikin looks at the recent wave of class action lawsuits against fiduciary and 401(k) plans.

 

fi360 Fiduciary Talk 13: The Fiduciary DOL Rule Sent to OMB for Review

Fiduciary DOL rule sent over to OMB for review

fi360 Fiduciary Talk 12: Recent Trends in SRI

fi360 Fiduciary Talk 12: Recent Trends in SRI

In this session, fi360 Executive Chairman Blaine Aikin and Senior Policy Analyst Duane Thompson will discuss recent trends in Socially Responsible Investing or SRI.