Register Now – Vulnerable Adult Clients: Are You Protecting Your Clients and Your Firm?
The U.S. population is aging – is your firm ready to handle the issues that come with having senior and vulnerable adult clients?
- The New Rules and State Regulations: We will discuss the new FINRA rule requirements. Those include disbursement holds where financial exploitation of a senior or vulnerable adult client is suspected, and designation of a trusted contact person. We will also discuss current state regulations addressing these same concerns.
- What Firms Should Be Doing Now: Learn about FINRA and state requirements for new written policies and procedures, and books and records maintenance/production around senior and vulnerable adult client issues.
- Enhanced Review and Escalation of Client Accounts for Action by Firms: We will discuss the need for escalation and review by Compliance for possible reporting of disbursement holds and suspected exploitation, abuse or neglect of senior or vulnerable adult clients to state regulators.
Please send your questions, in advance, to Libby Hall at Oyster Consulting, firstname.lastname@example.org.
Register now for this webinar, to be held on Thursday, May 25th at 3:00 pm EST.
For more information about how Oyster Consulting can assist your firm with its regulatory compliance needs, complete our contact form or call us at 804.965.5400 and one of our Relationship Managers will be happy to help you.