Protecting Senior Investors and Vulnerable Adults

Overview

Protection of senior investors and other vulnerable adults has long been a focus of regulators. They have adopted rules and regulations that provide guidance and define your obligations concerning your dealings with this segment of the population. This course takes a look at that guidance and reviews the rules and regulations to assist you in serving your senior investor and/or vulnerable adult clients. 

Learning Objectives

Students who successfully complete this course will be able to:

  • understand the unique needs of senior investors
  • define vulnerable adult
  • understand the rules and regulations surrounding your dealings with senior investors and vulnerable adults

Designed for

Retail

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