Vulnerable Investors
Documents
2018
Best-practice Checklist
This is a checklist of best practices advisors can implement to help make their offices or meeting spaces more accommodating for elderly clients.
Presentation: Elder-friendly Practices
This presentation provides practical guidance for having elder-friendly client meetings and conversations.
Presentation: Understanding Capacity and Decision-making
This presentation provides information to guide advisors in thinking about the concept of capacity as they continue to work to improve their interactions with older investors.
Presentation: Dealing with Elder Abuse
This presentation shares insights to help advisors meet the special needs and concerns of aging investors and understand how aging investors can become vulnerable to neglect or abuse.
Advisor Insights: Meeting the Needs of Investors with Cognitive Decline
This checklist helps advisors prepare for the challenges of working with investors who are experiencing cognitive decline. It provides information about what to watch for when advising these clients, and actions to ensure the advisor and dealer are meeting regulatory and legal obligations. A separate checklist has been developed to guide advisors in identifying and addressing situations where a client might be subjected to financial exploitation.
Advisor Insights: Protecting Investors from Financial Exploitation
This checklist has been developed to guide advisors in identifying and addressing situations where a client might be subjected to financial exploitation. It provides information about what to watch for when advising these clients, and actions to ensure the advisor and dealer are meeting regulatory and legal obligations.
This is a checklist of best practices advisors can implement to help make their offices or meeting spaces more accommodating for elderly clients.
This presentation provides practical guidance for having elder-friendly client meetings and conversations.
This presentation provides information to guide advisors in thinking about the concept of capacity as they continue to work to improve their interactions with older investors.
This presentation shares insights to help advisors meet the special needs and concerns of aging investors and understand how aging investors can become vulnerable to neglect or abuse.
This checklist helps advisors prepare for the challenges of working with investors who are experiencing cognitive decline. It provides information about what to watch for when advising these clients, and actions to ensure the advisor and dealer are meeting regulatory and legal obligations. A separate checklist has been developed to guide advisors in identifying and addressing situations where a client might be subjected to financial exploitation.
This checklist has been developed to guide advisors in identifying and addressing situations where a client might be subjected to financial exploitation. It provides information about what to watch for when advising these clients, and actions to ensure the advisor and dealer are meeting regulatory and legal obligations.
