WSP/CoE Section Update - Protecting Older and Vulnerable Clients with Diminished Capacity
This sample WSP section provides examples of warning signs of financial exploitation of senior clients and examples of trusted contact and reporting procedures of suspected or possible exploitation. Includes updates based upon the Senior Safe Act.
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Product Description
This sample WSP section provides examples of warning signs of financial exploitation of senior clients and examples of trusted contact and reporting procedures of suspected or possible financial exploitation. Includes updated based upon Senior Safe Act, however, it is not specific to any state.
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Last updated June 12, 2018.
*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.