4c. BD/IA – Protecting Our Most Vulnerable Clients


One of the primary missions of the regulators is the protection of investors, of which vulnerable clients (seniors) are a rapidly growing segment. This session will address the particular concerns for vulnerable clients and offer strategies for developing safeguards from a regulatory and practical standpoint.
Learning Objectives:
• Discuss how firms address and train for vulnerabilities such as aging, diminished capacity and financial exploitation or abuse
• Address appropriate marketing and communications to vulnerable clients
• Examine examples of customer account information required for vulnerable client accounts, suitability of securities sold to vulnerable clients as well as recommended disclosures
• Distinguish between when to report to authorities and other actions needed to be taken once exploitation is detected

Basic                        Program Level: Panel Date: November 8, 2021 Time: 3:30 pm - 4:45 pm

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