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Continuing Education: Seven Safety Measures When Working with Senior Investors
July 30, 2015 @ 1:00 pm - 2:00 pm
As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.
This webinar will discuss the unique needs of senior investors, steps your firm should take when working with this growing demographic, and the serious implications of FINRA and the SEC’s recent influx of disciplinary actions and investor alerts.
1.) The Senior Investor – Demographics & Broker-Dealer Issues
- Concerns Among US Investors
- A Prime Target for Investor Abuse?
- Loss of Clients and Serving the Client’s Children
2.) Seven Safety Measures When Working with Senior Investors
- Potential Impacts
- Broker-Dealer Best-Practices
3.) Regulatory Issues and FINRA Resources
- Recent FINRA Cases
- FINRA Resources for the Investor
- Reference & Rule Review
Click here to register.