PLANADVISER Webinar Series

Practice Progress

PLANADVISER’s Practice Progress webinar series is designed to help advisers tackle the ongoing challenges of managing their practices, with the goal of improving outcomes for team members, plan sponsor clients and participants alike. Each month, the editors of PLANADVISER will bring together trusted industry experts to discuss practice management, client service, compliance, investments and much more. Join us as we help you move your practice forward.

JUL. 28
2:00 p.m. EDT
Topics for Committee Discussions
It has been quite a start to the year for your retirement plan sponsor clients. From the ongoing implementation of the SECURE Act to the emergency relief provisions included in the multiple congressional stimulus packages passed in response to the coronavirus pandemic, they have a lot to consider. This editorial-driven webinar will spell out exactly what topics retirement plan committees should be discussing during their next meeting.
AUG. 25
2:00 p.m. EDT
Advisers Giving Back / CSR
First launched last September, PLANADVISER’s Advisers Giving Back series has at this point profiled a dozen different firms’ efforts to give back and invest in their local, regional and even international communities. Some of the profile subjects are large national firms that have established independent programs and foundations to coordinate their sizable giving efforts. Others, given their smaller footprint, do more localized giving that still has a tremendous impact. Beyond commending the work of the generous advisers in our industry, this editorial-driven webinar will provide tips and strategies for launching new charitable giving efforts and creating a workplace culture that embraces corporate social responsibility.
SEP. 24
2:00 p.m. EDT
Leveraging Resources and Providers to Support and Grow Your Business
Simply put, in order to be successful in both the short and long run, retirement plan advisers cannot do it alone. Now, more than ever, clients expect a tremendous amount of value for the fees they are paying. Fortunately, advisers have strategic partners on which they can rely, from upstart technology vendors to established recordkeepers. This editorial-driven webinar will focus on helping you get the most value from your strategic relationships, including ways to make your job easier and ways to efficiently and profitably add value to your service offerings.
PAST EVENTS
Missed one? No worries. All past webinars are available to watch on demand by checking its corresponding box on the register form.
MAY 28
2:00 p.m. EDT
Best Practices in Managing the New Norm of Remote Advisory Practices: Lessons Learned
Like many sectors of the U.S. economy, the first major effect of the COVID-19 pandemic seen in the advisory industry was a wave of cancellations of in-person meetings and events. Now, that time seems long gone as advisers, along with many of their clients, have shifted to a remote working environment.

Technological tools such as email, video conferencing and webcasting have been around for decades and, in recent years, plan advisers have integrated these tools into their practices. However, now that it’s become clear that the coronavirus pandemic will disrupt business as usual for the foreseeable future, such technologies are getting a real chance to demonstrate their usefulness—and advisers are figuring out how to use them in both practice management settings and for client communication. And, as the adviser community transitions to remote-based work, with new tools, they have to pay attention to the areas of cybersecurity and protecting sensitive information.

Join PLANADVISER for a discussion that reflects on the past eight weeks of this new world. Hear how advisers can succeed in this new environment, from advisers who have always worked remotely and from those who have just recently embraced the practice.
PRESENTERS
Jason Chepenik
Managing Partner
Chepenik Financial
David Griffin
Founder
Atlanta Retirement Partners
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
JUN. 25
2:00 p.m. EDT
Regulation Best Interest Is Here … Now What?
As the name suggests, the U.S. Securities and Exchange Commission (SEC)’s Regulation Best Interest, or “Reg BI,” establishes an enhanced “best interest” standard of conduct for broker/dealers (B/Ds) and associated personnel when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities—including recommendations of types of accounts. Tied into the broad rulemaking package is a related clarification and restatement of the SEC’s understanding of the fiduciary duty applying to investment advisers under the Investment Advisers Act, along with a new requirement to distribute customer relationship summary forms.

Simply put, Reg BI changes the fundamental customer loyalty and disclosure obligations placed on advisers and broker/dealers and, as such, coming into compliance with Reg BI is of the utmost importance for firms. Indeed, the SEC has already confirmed it will immediately begin Reg BI compliance reviews of registered firms and representatives, starting on June 30.

Hosted by the editors of PLANADVISER and paneled by attorneys and industry experts, this webinar will provide timely, actionable insights about establishing, maintaining and proving compliance under Reg BI. With the ongoing training of staff about Reg BI being an important part of compliance—a fact confirmed by the SEC—we know this webinar will help firms in their efforts to live up to the SEC’s new expectations.
PRESENTERS
Jason Berkowitz
Chief Legal & Regulatory Affairs Officer
Insured Retirement Institute
David Kaleda
Principal
Groom Law Group, Chartered
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
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