How to Integrate Reg BI into a Fiduciary Focused Practice

Get prepared for Reg BI and the brave new world of fiduciary advice.

Enforcement of Reg BI starts is in less than two months. If you are like most advisors, you have other regulatory regimes to deal with as well; most notably, the Investment Advisers Act and ERISA. This webinar explains how you can efficiently manage your regulatory obligations and strengthen your value proposition for clients by focusing on fiduciary principles that underlie all three regulatory regimes.

Join Blaine F. Aikin, AIFA®, CFA, CFP®, founder and principal of Fiduciary Insights, LLC, and Duane Thompson, president of Potomac Strategies and senior policy analyst at Fi360, as they examine five key areas of harmonizing your compliance along fiduciary principles under Reg BI, ERISA and the Investment Advisers Act of 1940. They will examine:

  • Disclosure practices

  • Suitability

  • Best execution

  • Rollover and account recommendations

  • Compensation