As another eventful year comes to an end, fiduciaries have witnessed historic changes in the market conduct standards for investment advice. In March, courtesy of a surprise decision by the Fifth Circuit Court of Appeals, the DOL’s long-contested fiduciary rule was vacated. Just a month later, the SEC released a new, quasi-fiduciary rule for brokers providing retail investment advice. State insurance commissioners continued their work to plug the gap for annuity transactions with an updated ‘best interest’ rule while New York and New Jersey moved ahead with fiduciary rules of their own. At the same time, nearly 40 excessive fee lawsuits filed under ERISA against major universities and financial services firms’ retirement plans continued to work their way through the legal pipeline. And there was more! Our final Fi360 webcast of 2018 reprises tumultuous events and offer insights into how this translates into re-shaping the contours of the fiduciary standard for advisors in 2019 and beyond.
Blaine Aikin, AIFA®, CFP®, CFA, Executive Chairman, Fi360 and CEFEX
Duane Thompson, AIFA®, Senior Policy Analyst, Fi360
Fi360
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.
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Live attendance is eligible for one hour of CE for the AIF®, AIFA®, and PPC® Designations. CE credit may also apply for the CFP® Certification, when indicated. Each individual wishing to receive CE credit for any credential must register for and log in to the session individually so that we have a record of your attendance. Recorded videos of previous webinars are available for viewing below. AIF and AIFA Designees must access archived webinars through the Designee Portal in order to receive CE credit. If you have any questions, please email support@fi360.com.
