Compliance Concerns for Investment Advisers Working with Senior Investors and Vulnerable Clients
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Product Description
Thursday, July 19, 2018
As fiduciaries, investment advisers have a duty to help protect senior and vulnerable clients from financial exploitation. Investment advisers play an important role in protecting senior investors and vulnerable clients from financial exploitation. Over the past several years there has been significant focus among various regulatory agencies within the financial services industry to develop policies, rules, and regulations that help safe guard senior and vulnerable investors. Most recently, concerns of senior exploitation resulted in the passing of federal legislation under the Senior Safe Act.
During this webinar, RIA Compliance Consultants will discuss steps an investment adviser should take to comply with recent legislation and other governing regulations that may be in place related to senior and vulnerable clients. We will provide tips regarding policies and procedures investment advisers should implement for detecting, reporting, and mitigating financial exploitation of senior investors and vulnerable clients.