Fiduciary Trends: Year in Review

Broadridge

Fi360 offers a retrospective view of a tumultuous year in U.S. politics, the markets, for the SEC and DOL, and the courts – all of which impact the fiduciary standard for investment fiduciaries.  Join Blaine Aikin, CFA®, AIFA®, CFP®, and Duane Thompson, AIFA®, Fi360 senior policy analyst, as they review events of the past year that have dramatically shaped the fiduciary standard.  Some of the topics to be covered are SECURE Act 2.0, DOL’s long-anticipated revisions to ESG selection criteria in retirement plans, prudent practices for in-plan retirement income solutions, and pending rules by the SEC directly impacting registered investment advisers.

Learning Objectives:

By the end of the session, attendees will be able to recognize and articulate the significance of the following:

1. New regulatory requirements under ERISA and securities law for selecting ESG investments for retirement plans and retail client portfolios;
2. Key provisions in major retirement plan legislation pending in Congress (SECURE Act 2.0 and related Senate bills);
3. Prudent practices for the selection and management of in-plan retirement income solutions;
4. Current and potential change to the ERISA fiduciary standard for 3(21) advisors; and
5. Overview of pending SEC rules impacting the practices of registered investment advisers including, among other requirements, the new Marketing Rule, selection and monitoring of third-party service providers, and cybersecurity disclosures.

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