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Regulation, Self-regulation, and Professionalism and the Future of Financial Advice

  • Thursday, May 18, 2017
  • 7:30 AM - 10:00 AM
  • Andrei's Restaurant, 2607 Main Street, Irvine
  • 3


  • Early Bird pricing
  • Early Bird pricing

Registration is closed

Regulation, Self-regulation, and

Professionalism and the Future of Financial Advice

    Our Presentation:

It is a tumultuous time in the current environment for government regulation of financial services with uncertainty and inconsistency ruling the day. This session will take stock of:

·  Where things stand with respect to federal regulation of financial advisors and

· The importance of having practitioners exert greater leadership in demanding high, consistent standards for their profession.

· A strong trend towards “fiduciary capitalism” that transcends regulatory compliance and offers great promise for the future of financial advice. This is a trend that will impact all pension and benefit practitioners, and is one that the profession must lead.

   About Our Speaker:

Blaine Aikin is Executive Chairman of fi360 and a recognized thought-leader in the field of financial advice and fiduciary responsibility. He led the rise to prominence of the company’s professional development capabilities, investment management platform for advisors, and business research and practice management services that help advisors and financial institutions to gather, grow, and protect investor assets.

He has been named to Investment Advisor magazine's IA25 list of the most influential people in the investment advisory community and one of the ten most influential individuals in the 401(k) industry by RIABiz. He currently serves as Chairman of the CFP Board of Standards. Mr. Aikin received a Bachelor Degree in Economics and Political Science from Allegheny College and his Master of Public Management and Policy degree from the Heinz School of Carnegie-Mellon University.

Who should attend this program?

Auditors who want to know more about the role of financial advisors on plans that they audit

Financial Advisors who want to know about the where their industry is headed  

Plan Fiduciaries who want to know more about what they can expect from financial advisors to their retirement plans

Record keepers who are interested in current trends in the advisory community   

Service Providers (third-party administrators& consultants) who want to know more about how financial advisors are changing their service models  

All Benefits Professionals who are interested in participating in a high-quality educational forum and want to benefit from the knowledge and experience of other benefits professionals in the Orange County benefits community. 

Continuing Education:

2 CE for ASPPA certifications
2 CEC for NIPA certifications
2 CPE for CEBS
1.75 hours MCLE for California attorneys
2 hours for California CPAs
2 hours for Certified Financial Planners
2 hour for ERPA and Enrolled Agents

Doors open at 7:30 a.m. for check-in, breakfast and networking.  Our program will begin at 8:00 a.m. and this program will end at approximately 10:00 a.m.  The registration fee includes a full breakfast buffet and hosted valet parking.

The reservation deadline for this event is Thursday, May 11.

WP&BC Members can bring a guest for free!  This is a wonderful opportunity to introduce your peers and colleagues to our Chapter.  Remember, your guest should be a first-time visitor and potential member.   Look for the free guest offer when you register online

The statements and materials presented at WP&BC Orange County Chapter events are solely the opinions of the speakers and do not represent the opinions or positions of WP&BC Orange County Chapter. In addition, WP&BC Orange County Chapter assumes no responsibility for the content or accuracy of the statements and materials presented by speakers at WP&BC Orange County Chapter events.

Please feel free to reach out to WP&BC with any questions.

Direct Questions To:

Christine Stewart,
Chapter Administrator


(949) 407-9128


Orange County Chapter
PO Box 6111
Garden Grove, CA 92846

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