I am pleased to announce the publishing of a new white paper entitled: Protecting Senior Investors.
This paper gives an overview of the problem of dementia in the U.S, a basic understanding of what dementia is and how regluators, particularly FINRA, have addressed it.
Paper sections include:
- Regulatory, Law Enforcement and Government Response;
- Defining a "Senior Investor";
- Who Perpetrates Financial Fraud on Senior Investors?;
- Knowing Your Customer, and Dementia;
- Definitions of Dementia;
- Testing for Dementia;
- FINRA Rule 4512 - Customer Account Information;
- FINRA Rule 2165 - Financial Exploitation of Specified Adults;
- Red Flags, and;
- Best Practices
To learn more about author Jack Duval, click here.