Effective Practices for Working With Senior Investors: 2017 FINRA Annual Conference

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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. Statistics show that the population of persons aged 65 and older is growing at a dramatic pace. This population also controls a significant percentage of personal wealth in the U.S. These facts coupled with the fact that regulators are investigating more and more cases involving complaints made by seniors have led the industry to step up efforts to protect senior investors. Join FINRA staff and industry panelists as they cover initiatives to help combat elder financial exploitation and best practices for addressing diminished capacity concerns.

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 abuse.
  • Gain a general understanding of state mandatory reporting of elder abuse.
  • 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.

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