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Each episode offers employers candid, in-depth interviews with industry experts, new best practices and valuable perspectives on current events.  

Episode Guest:

Blaine Aikin

Executive Chairman,


401(k) Fiduciary Fundamentals and Freebies

Guest: Blaine Aikin

If you have been involved in working with retirement benefit plans over the last several years, you have probably been told more times than you can remember that your 401(k) plan comes with fiduciary responsibility.  You also have likely noticed the proliferation of 401(k) lawsuits, and that the DOL has released their new Conflict of Interest rule which redefines how one can become a fiduciary.  With all of this going on, and the questions that have ensued, I thought it would be a good time to have Blaine AIkin, the Executive Chairman of Fi360, help provide some clarity.  Fi360 is the industry leader in providing fiduciary education and training to individuals and organizations in the financial services industry to develop prudent fiduciary practices and promote a fiduciary standard of care.  Our conversation covers how employers can use fiduciary safe harbors to limit their fiduciary liability, the importance of having your fiduciary processes nailed and things to do and not to do as a plan fiduciary.  Blaine also has some great quotes in the episode such as, there is nothing passive about being a retirement plan fiduciary, you have the fiduciary obligation to not waste money and with the new DOL Conflict of Interest Rule, a non-fiduciary advisor is now a contradiction in terms.  Last but not least, I am excited to announce that this and other episodes of the podcast have been submitted for HR recertification credits.  To see episodes that have been pre-approved or submitted please go to  

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Guest Bio

As Executive Chairman of fi360, my goal is to assure that fi360 provides exceptional professional development programs, investment and business management tools, and business and industry thought leadership to improve the decision making of those who manage money on behalf of others. fi360 seeks to promote a culture of fiduciary responsibility to align the interests of investors and investment professionals.

fi360 helps its clients gather, grow, and protect assets through better investment and business decision-making. Since 1999, fi360 has been providing innovative solutions to financial services providers. We offer the AIF®, AIFA®, and PPC designation programs, the fi360 Toolkit™ software, and fi360 Fiduciary Score®. Ann Schleck and Co., a division of fi360, adds strategic growth support. Additional fi360 capabilities include fiduciary assessments and practice management and compliance.

Career financial services professional with experience in government (U.S. Treasury Department and as Budget Officer of Prince William County, Virginia), investment advisory practice (Principal and CIO of independent advisory firm), and financial product and service management (bank trust department, brokerage, and institutional offerings).

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