While much attention has been paid to senior and vulnerable customers of financial institutions, less focus has been directed toward issues of diminished capacity and cognitive impairment among those that advise them. These topics raise complex and unique concerns relating to effective client service and compliance with securities laws. Our panelists discuss the legal and practical challenges firms face in identifying and fielding these issues, as well as the role securities regulators may have to play in addressing this growing concern.
CLE credits approved in NY, with reciprocity in NJ, FL and CA.
CLE credits pending in TX, NC, and PA.