FSI Webinars

FSI Webinars

FSI is pleased to offer our members access to our complimentary webinars on important topics concerning your business and your clients. View upcoming webinars on our full events calendar.

Executing the DOL Rule: Maneuvering around Uncertainty, Costs and Unintended Consequences

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Date: Thursday, November 16, 2017 @ 2pm EST

Although certain key requirements of the DOL rule are on the shelf, today advisors are accountable to meet “Impartial Conduct Standards”. What does this mean? Firms face business disruption for process changes on rollovers, due diligence and advisor compensation. While many process changes will be driven in-house, the Fintech toolbox to solve them will likely come from third-party service providers. Forward-thinking firms and advisors are looking to move sooner rather than later to transform fiduciary standards into a competitive advantage. This webinar explores three operational challenges and technology solutions to help raise the bar.

Peace of Mind Succession Planning – The 5 Key Elements

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Date: Thursday, September 28, 2017 at 2:00 p.m. Eastern Time

Succession planning should begin when you onboard your first client and concludes with an orderly transfer of your book of business, regardless of contingencies. Understanding and implementing the 5 key areas of succession planning will help optimize the value of your business, enhance client retention, encourage key employee loyalty, mitigate potential risk interference, leverage future transfer of wealth opportunities and reward you, the financial professional with peace of mind.

Don’t Get Caught Flat-Footed; Preparing For the Implementation of the Revised Form ADV


Date: Thursday, August 31, 2017 at 2:00 p.m. Eastern Time

The SEC will roll out a revised Form ADV in October 2017, requiring investment advisers to report new and expanded firm and client information. Changes to the form may require advisers to implement initiatives now to assure that they capture and properly analyze its additional information requirements. Being proactive by taking steps to assure a timely and accurate annual amendment filing is essential. This presentation will cover the modifications to the Form ADV and offer suggestions on steps investment advisers can take now to be ready for the change.

Varying Regulatory Requirements for Senior Investors & Firms’ Compliance Practices


Original Air Date: Thursday, August 03, 2017 at 2:00 p.m Eastern Time

Brandon Reif and Ben Biard of Winget, Spadafora & Schwartzberg, LLP will provide an update on FINRA Rule 2165 and the amendments to FINRA Rule 4512 that go into effect on February 5, 2018. FINRA Rule 2165 (Financial Exploitation of Specified Adults) permits members to place temporary holds on disbursements of funds or securities from the accounts of specified customers where there is a reasonable belief of financial exploitation of these customers. The amendments to FINRA Rule 4512 (Customer Account Information) require members to make reasonable efforts to obtain the name and contact information for a trusted contact person for a customer’s account. Mr. Reif and Mr. Biard will further address the best practices for member firms in implementing procedures to comply with these rules and other best practices for brokerage firms when it comes to dealing with senior investors.

Cybersecurity: An Evolving and Expanding Business Headache for Broker-Dealers and Investment Advisors

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Original Air Date: Thursday, July 20, 2017 at 2:00 PM Eastern Time

Sam Edgerton and John Goselin of Freeman Mathis & Gary, LLP come together to discuss the evolving expectations and the escalating standard of care for broker-dealers and investment advisors in light of:

  • The New York State Department of Financial Services: “Cybersecurity Requirements for Financial Services Companies” Regulation and the prospect of new minimal standards;
  • The ongoing emphasis by FINRA and the SEC in the Examination Priority Letters, Risk Alerts and the regulatory basis for future enforcement actions; and
  • The increasing focus on cybercrime by the Department of Justice and federal efforts to foster Government/Business cooperation regarding cybercrime and the tensions with the privacy laws and compliance with other federal and state laws.

Join us for an insightful discussion on ways to strengthen your cybersecurity program and to reduce your regulatory and business risk.

2016 and 2017 FINRA Disciplinary Actions and Enforcement Trends

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Original Air Date: Thursday, June 22, 2017 at 2:00 PM Eastern Time

In this webinar, Brian Rubin and Adam Pollet of Eversheds Sutherland (US) LLP discuss how FINRA’s recent disciplinary actions may impact broker-dealers in 2017. They will highlight FINRA’s enforcement statistics for 2016 and 2017, the key cases and the significance they may have for broker-dealers, and emerging regulatory trends.

OMG! OBAs: Current Regulatory Issues Concerning Outside Business Activities

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Original Air Date: Thursday, May 11, 2017 at 2:00 PM Eastern Time

Join us for the upcoming webinar, OMG! OBAs: Current Regulatory Issues Concerning Outside Business Activities. Clifford Kirsch, Brian Rubin and Amy Xu of Eversheds Sutherland will talk extensively about Outside Business Activities (OBAs), including requirements for OBAs, examination trends, recent enforcement actions and compliance considerations for OBAs.

DOL Fiduciary Rule Update: May 2017


Hear the latest updates regarding the DOL Fiduciary Rule. In this 20-minute webinar, FSI Executive Vice President & General Counsel David Bellaire will provide insight into the most recent developments surrounding the rule and what it means for you, your business and your clients’ access to your advice.



Original Air Date: Thursday, May 4, 2017 at 2:00 PM Eastern Time

With almost 20 states offering national ABLE programs and 48 states that have moved to enact state ABLE laws, it is crucial for financial advisors to be knowledgeable on such accounts. Hear from Sara Hart Weir, President, National Down Syndrome Society (NDSS) and Co-Founder of the ABLE Alliance for Financial Empowerment, as she provides valuable information on ways to assist and support individuals with disabilities and their families in their efforts to achieve financial empowerment and economic independence. This webinar will focus on educating eligible individuals and their families on the widespread availability and utilization of ABLE accounts, in addition to their use as a savings vehicle, how they interact with public assistance programs, and ways to protect beneficiaries from financial abuse.

Current Issues in Investment Advisory Compliance

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Original Air Date: Thursday, December 15, 2016 at 2:00 PM Eastern Standard Time

FSI invites you to join Dionne Fajardo as she provides an overview of the current issues of interest taken from recent regulatory actions, including performance advertising, NASAA and SEC enforcement reports, conflicts of interest and more.

Selling Away and Outside Business Activities

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Original Air Date: Thursday, October 20, 2016 at 2:00 PM Eastern Standard Time

As FINRA renews its focus on the supervision of outside business activities and private securities transactions, firms see increased claims involving allegations of outside business activities and selling away.

During this webinar, Brandon Reif and Derek Anderson of Winget, Spadafora & Schwartzberg, LLP will review FINRA’s outside business activity and private securities transactions rules and broker dealer supervision obligations under both and discuss best practices to avoid/minimize exposure to outside business activity and selling away claims.

Cybersecurity: Emerging Trends and the Current Regulatory Environment for Independent Financial Advisors and Independent Financial Services Firms

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Original Air Date: Thursday, September 22, 2016 at 2:00 PM Eastern Standard Time

Privacy and data security law continue to significantly change. Securities regulatory bodies have sharpened their focus. Numerous states amended their data security statutes. Significant legal developments occurred in the class action field as well as related to data breaches. A panel of leading privacy and data security attorneys will discuss developments and emerging trends in the legal and insurance areas of data security for independent financial advisors and financial services firms including risk management and best practice considerations.

What’s in a Name: Comparing and Contrasting Different Forms of Account Aggregation for Financial Services

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Original Air Date: Thursday, September 8, 2016 at 2:00 PM Eastern Standard Time

The need for a comprehensive view of client accounts and assets has never been greater, but the proliferation of different service providers and type of account aggregation have left many confused about what to go with and what to expect from it. Join us in this informative session about the types of account aggregation and how it is used for driving client relationships.

Buying and Selling Broker-Dealers: Maximizing Value and Avoiding Traps for the Unwary

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Original Air Date: Thursday, August 18, 2016 at 2:00 PM Eastern Standard Time

This webinar will focus on the broker-dealer acquisition/disposition process from the perspectives of potential buyers and potential sellers. It will explore the drivers of current industry consolidation, common structures utilized in such transactions and the common (and sometime very complex) issues inherent in broker-dealer transactions.

FSI’s DOL Rule Model BIC & Compliance Guide, Frequently Asked Questions

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Original Air Date: Thursday, July 28, 2016 at 2:00 PM Eastern Standard Time

FSI invites you to join Cliff Kirsch, Mark Smith and Allison Wielobob of Sutherland, Asbill & Brennan as they provide on overview of frequently asked questions regarding the FSI Model BIC & Compliance Guide.

The Critical Path to Marketing Success, Beyond the Fog of the DOL Fiduciary Rule

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Original Air Date: Thursday, June 30, 2016 at 2:00 PM Eastern Standard Time

Going forward, with or without the fiduciary rule, financial services companies and their representatives still have two key business building objectives to be successful: 1. Building and 2: Retaining their client book of business.

This webinar shares the prescriptive marketing steps that need to be taken to be successful as a financial services advisor. Beginning with how to engage with target markets and understanding the marketplace, from millennials to baby boomers and from the mass affluent to the ultra-affluent, critical steps must be taken to succeed. These steps include the following elements:

  1. Frequency of meaningful contact with clients and prospects;
  2. Demographically preferred medium to delivery marketing messaging content;
  3. Relationship building, personal vs. performance;
  4. Tools and techniques to simplify and maximize marketing success.

The good news – it’s all DOL Fiduciary Rule compliant…