How Investment Advisers Can Better Report and Protect Senior & Vulnerable Clients Against Elder Abuse

Bryan Hill, President of RIA Compliance Consultants, interviewed Claire McHenry, Deputy Director of the Nebraska Securities Bureau, and Toni Bonsera, Program Specialist with the Nebraska Department of Health and Human Services where she focuses on safety of vulnerable adults, about how an investment adviser should report elder abuse and protect senior investors.

Tools for an Investment Adviser to Train, Supervise and Protect Elder and Vulnerable Clients Against Abuse

RIA Compliance Consultants has prepared the “Senior/Vulnerable Clients – Compliance Package” to assist investment adviser firms in identifying and reporting abuse of senior and vulnerable clients. The documents included in the package are listed below. To see a description of the document, click on the title and follow the link.

  1. Senior/Vulnerable Clients – Training (PowerPoint)
  2. Senior/Vulnerable Clients – Training Quiz
  3. WSP/CoE Section Update – Protecting Older and Vulnerable Clients with Diminished Capacity
  4. Senior/Vulnerable Clients – Client Authorization to Communicate with Trusted Emergency Contact
  5. Senior/Vulnerable Clients – State Reporting Requirements
  6. Senior/Vulnerable Clients – Internal Reporting Form for Exploitation
  7. Rep – Diminished Capacity of IAR (also referred to as Senior/Vulnerable Clients – Diminished Capacity of IAR)