Protecting Vulnerable Shareholders

Wednesday, August 9, 2017

2:00 pm - 3:00 pm ET




What are members asking about protecting vulnerable shareholders? View Q&A from our recent webinar.


Are you ready for financial exploitation prevention? Click here for an implementation checklist for asset managers. 


Nick Nichols
Vice President, Risk and Compliance Intelligence Group, DST Systems, Inc.
Joseph Brady
Executive Director, North American Securities Administrators Association, Inc.
Crissie Wisdom
AML Compliance Officer, Fraud Prevention Manager, Invesco


Protecting Vulnerable Shareholders from NICSA


As the 65+ age group continues to grow, financial exploitation of vulnerable shareholders is a major focus for a number of states and financial services regulators. As a result, rules and guidelines regarding individuals over 65 (including those unable to make their own financial decisions) are becoming more prominent. This webinar will explore best practices and provide compelling reasons why protecting vulnerable shareholders should be a focus area for all asset management and financial services firms.

Financial executives will benefit from this informative webinar, addressing issues such as:

  • Identifying vulnerable investors
  • Understanding the regulatory requirements (FINRA and state regulations)
  • Handling “trusted source” designees
  • Building best practices in fraud situation response

CPE Information


NICSA is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry..

NICSA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

For this webinar:
CPEs Earned: 1 hour
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based

Advanced Preparation: None


For more information, please contact Travis Orton at 508.683.1618.