Senior/Vulnerable Clients – Training


This training power point provides instruction to IA employees to help them recognize and report suspected financial exploitation. It also discusses respecting client privacy and integrity.
Included with Bronze, Silver, Gold and Platinum Package.



The Senior Safe Act, passed by Congress in 2018, provides immunity for “covered financial institutions” (i.e. Investment Advisers) that make a report of suspected senior financial exploitation to a government agency (typically Adult Protective Services). There are several requirements for a firm to qualify for immunity under the Act. One of those requirements states that the firm must provide training on how to properly identify/report suspected senior financial exploitation before any employee make a disclosure to a government agency. This power point serves as a formal training material to help teach employees to recognize and report suspected senior financial exploitation.

This training discusses the provisions set out within the Senior Safe Act as well as the broader financial services industry movement toward senior investor protections. It also defines the terminology set forth in the act and common sines of financial exploitation. The training will then outline procedures firms should implement in order to properly report exploitation.

Included with Bronze, Silver, Gold and Platinum Package. Last updated July 24, 2018.

These training materials are designed only around the Senior Safe Act. They do not cover state law requirements. Many states already have immunity provisions within their statues. Some states also have laws which require financial institutions to report to a government agency if they believe senior financial exploitation is occurring. Individuals should research their state laws to ensure compliance with state and federal law.

This sample form should be considered as a starting point; the investment adviser firm will need to customize this sample form to its business model and policies and procedures.  Please see our disclosure about the limitations of sample form at 


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