Overview
This course is designed to help registered representatives understand their responsibilities in protecting senior and vulnerable adult clients from financial exploitation. Scenarios demonstrate the importance of recognizing and escalating respective red flags, and highlight specific rules and regulations that can help registered representatives fulfill their responsibilities to safeguard their clients from financial abuse.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- explain your responsibilities in protecting senior and vulnerable adults from financial exploitation
- identify specific laws, rules and regulations that can help protect your customers from financial exploitation
- recognize red flags of financial exploitation and appropriate related escalation procedures
- leverage available tools and resources to help protect senior and vulnerable adults from financial exploitation
Designed For:
Course Information
Adding additional credit may change exam requirements.
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