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Fi360 Fiduciary Talk

fi360, Inc.

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.

  • 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 considered a fiduciary act. In this episode, Blaine and Duane discuss HSAs and what advisors need to know when considering these accounts for their clients.


    12 May 2017, 8:51 pm
  • 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 driving the guaranteed income market and what regulators have said in terms of making them available to participants, including as QDIAs.


    17 March 2017, 8:40 pm
  • 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 fiduciary duty akin to the one expected for investment advisors? In this episode, Blaine makes the argument that it does and discusses with Duane the sources of those fiduciary duties.


    8 March 2017, 7:16 pm
  • 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 and Duane discuss the latest developments in the ongoing battle over the DOL Conflict of Interest rule, what happens next, and what advisors should do now.


    10 February 2017, 3:21 pm
  • 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 activities that would not be considered fiduciary recommendations under the new definition.


    2 February 2017, 8:48 pm
  • 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 uncertainty around the fiduciary rule, this trend appears likely to continue, as even opponents of the rule have demonstrated support for regulating titles that cause confusion with the investing public.


    12 January 2017, 9:05 pm
  • 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.

    21 December 2016, 2:20 pm
  • 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.

    1 November 2016, 5:53 pm
  • 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.

    1 November 2016, 5:48 pm
  • 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.

    1 November 2016, 5:40 pm
  • 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.

    11 October 2016, 8:28 pm
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