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Keyword: Seniors

218 results found
papers on a desk

Shortcoming uncovered in state regulators' compliance reviews, NASAA reports

advisor-client meeting

A qualifying senior couple would receive $750 more per year

client meeting

New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors

senior couple sitting at table with financial advisor

Financial industry can be the first line of defence against exploitation of vulnerable investors

A CSA survey reveals challenges related to financial abuse

  • By: IE Staff
  • June 15, 2021 June 15, 2021
  • 13:55
announcement

Members will serve a one-year term

  • By: IE Staff
  • June 2, 2021 June 2, 2021
  • 14:38
seniors divorce

With the court system backlogged, older clients may want to split up on good terms

A new MFDA paper aims to take the mystery out of client vulnerability

Cropped shot of a cheerful elderly woman hugging her husband who's in a wheelchair at home during the day

The CSA will finalize rules designed to protect vulnerable clients by early summer

Laughing senior man using laptop computer at home

FINRA found that isolation can impact decision-making, including when it comes to finances