3e. BD/IA LAB – Protecting Senior/Vulnerable Investors (Intermediate)

Senior investors continue to be one of the largest client segments serviced by financial professionals. Over the past several years there has been significant regulatory focus on how financial firms implement senior and vulnerable investor protections and the unique challenges for aging clients, including financial exploitation, diminished capacity, and savings for retirement.   Compliance and supervision play important roles in addressing these issues. This session will use case studies to explore wats to detect and respond to “red flags”, (such as clients depleting retirement savings), training programs for employees, and practical tips for when to terminate a client.  This session is closed to both regulators and members of the press.

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