Category Archives: Client Meetings

Financial Exploitation of Elderly and Vulnerable Clients

September 06, 2017

An investment adviser firm and its investment adviser representatives are uniquely placed to spot signs of financial exploitation that may be happening to their investment advisory clients. An investment adviser representative is often on the front lines of a client’s finances and becomes quite familiar with a client’s habits, preferences, and personal situation. This knowledge can help the investment adviser representative spot unusual patterns and suspicious requests, whether made directly by the client or by a third party.

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Documenting Client Meetings

July 17, 2017

Is your investment adviser firm consistently covering certain key issues during client meetings and then carefully documenting these discussions and follow-up items?

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