Working Together to Protect Senior Investors

SKU: FIN2200

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About This Course

This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in protecting senior clients, and others who may experience signs of diminished capacity, from financial abuse. Panelists will share techniques around staff and advisor education as well as effect operational practices.

After attending this session, you will be able to:

  • Identify issues relevant to senior investors.
  • Understand some effective practices when handling calls from seniors with concerns or questions about their account.
  • Obtain insight into the issues that accompany a client with a diminished capacity and/or who is experiencing elder financial exploitation.
  • Gain a general understanding of state mandatory reporting of elder abuse, including financial exploitation.
  • Learn the difference between dementia and Alzheimer's disease.
  • Protect your practice under FINRA regulations regarding diminished capacity and vulnerable clients.
  • Establish a plan for when a client is diagnosed with varying forms of cognitive impairment.

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