Overview
This course reminds registered representatives that fulfilling their regulatory obligations can help to protect senior investors from financial exploitation. Participants are presented with scenarios to help them learn how to detect situations or “red flags” that might indicate a senior client is being financially exploited.
Learning Objectives
- recognize situations or red flags that might indicate financial exploitation of your senior clients
- understand when to escalate financial exploitation concerns to the appropriate person or department at your firm
- describe the potential risks for failing to report suspected financial exploitation
Designed For
Registered representatives and registered principals
Find this course for your license:
License or Certification
Regulator
Type