As baby boomer retirement issues have marched to the front and center of the financial regulators’ agendas, FINRA and SIFMA are hosting a wide ranging “how-to” and policy forum on senior investor protection issues in Washington, DC Thursday October 20 and Friday October 21.

In a dozen sessions, the forum aims to provide insights on indications of impairment to watch for, marketing to the elderly, red flags of potential inappropriate activity and abuse in seniors’ accounts.

Privacy concerns, age discrimination laws and power of attorney requirements and best practices for training financial advisory staffs for firms of various sizes will also be discussed.

One of the sessions will be on the legal and compliance systems regulators and law enforcement officials are using to ward against and punish senior financial abusers.

This class will stress the importance of proper documentation and the need to stay current with a client’s circumstances.

The presenters will be heavy weights on senior financial protection matters at FINRA, SIMFA, the Securities and Exchange Commission, the Alzheimer’s Association and AARP.
Brokerage and advisory firm panelists include executives from E*TRADE Financial, Edward Jones, Fidelity Investments, Ameriprise Financial, Charles Schwab, Morgan Stanley, Bank of America Merrill Lynch, Wells Fargo Advisors, and JPMorgan Chase.

The charge for attending ranges from roughly $400 to $1,000.
Click here or the full schedule and to register.