Fi360 Fiduciary Talk
The fi360 Fiduciary Talk podcast series centers around pertinent industry topics and provides important overviews of what’s happening in regulation, in the marketplace, and technology to affect the standard of care for investment advice. The podcasts are a great way to get up-to-date on current trends and receive helpful insights from subject matter experts at fi360 and from across the financial industry.
- Update frequency
- every 13 days
- Episodes
- 24
- Years Active
- 2016 - 2017
Fi360 Fiduciary Talk 48: Health Savings Accounts in the Fiduciary Process
While the direction of health care is nearly impossible to predict, the rise in health savings accounts appears to be inevitable. And under the DOL fiduciary rule, advice on these accounts will be co…
Fri 12 May 2017
Fi360 Fiduciary Talk 47: Filling the void in guaranteed retirement income
As new guaranteed income solutions crop up in the market, regulators appear to be on board with making them more accessible via 401(k) plans. In this episode, Blaine and Duane discuss the trends driv…
Fri 17 Mar 2017
Fi360 Fiduciary Talk 46: Fiduciary duties of elected officials
When the government engages in rulemaking, as in the case of the DOL’s “fiduciary” rule, their duty is to develop policies that are in the bests interests of the public. Does that equate to a fiducia…
Wed 08 Mar 2017
Fi360 Fiduciary Talk 45: Fiduciary Rule scores victory in Texas
Even with a delay possibly forthcoming via the President’s executive order, the DOL’s “Fiduciary” Rule won an important victory when it was upheld in a Texas court decision. In this episode, Blaine a…
Fri 10 Feb 2017
Fi360 Fiduciary Talk 44: DOL Releases Second Set of FAQs
In this episode, Blaine and Duane discuss the release of a second set of FAQs from the DOL on its Conflicts of Interest Rule. The new FAQs cover a number of scenarios, with a particular focus on acti…
Thu 02 Feb 2017
Fi360 Fiduciary Talk 43: Titles used by advisers can trigger fiduciary status
An overlooked aspect of the DOL’s fiduciary rule is that it introduces a “holding out” fiduciary status, where titles that imply fiduciary status will hold the advisor to that standard. Even with the…
Thu 12 Jan 2017
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.
Wed 21 Dec 2016
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.
Tue 01 Nov 2016
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 turnov…
Tue 01 Nov 2016
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 adviso…
Tue 11 Oct 2016
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…
Fri 09 Sep 2016
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.
Fri 09 Sep 2016
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.
Wed 03 Aug 2016
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.
Wed 03 Aug 2016
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. C…
Thu 28 Jul 2016
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 …
Tue 05 Jul 2016
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 …
Tue 05 Jul 2016
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.
Tue 05 Jul 2016
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?
Tue 05 Jul 2016
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 A…
Tue 05 Jul 2016
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