Protecting Vulnerable Investors

سرفصل های دوره

Helping financial advisors protect their vulnerable clients

1 - Introduction

2 - Old Age and the Decline in Financial Literacy

3 - The Demographic Shift in Canada

4 - The Wealth Transfer

5 - Financial Concerns with Aging

6 - Who are Vulnerable People

7 - Challenges for Advisors and Firms Dealing with Vulnerable Clients

8 - Normal Cognitive Aging

9 - Cognitive Impairment and Dementia

10 - Warning Signs of Dementia

11 - Understanding Elder Abuse

12 - Elder Financial Abuse

13 - Scams Targeting Seniors

14 - Case Kathleen

15 - Penalties and Enforcement

16 - Regulatory Requirements for Advisors

17 - Regulatory Requirements for All Advisors

18 - Suitability

19 - Know Your Client KYC

20 - Know Your Product KYP

21 - Regulatory Changes for Advisors

22 - Communicating with your Clients

23 - Good Communication Practices for Senior Clients

24 - Handling Complaints

25 - Regulatory Expectations

26 - Important Client Documents

27 - Power of Attorney POA

28 - Spotting and Preventing POA Abuse

29 - Trusted Contact Person TPC

30 - Temporary Holds on Client Disbursements

31 - Understanding Capacity

32 - Evaluating Capacity

33 - Taking Steps if Incapacity or Abuse is Suspected

34 - Firmlevel Measures to Protect Senior Clients

35 - Implementing an Escalation Process

36 - Conclusion

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تولید کننده: Udemy