[Webinar] Seven Safety Measures When Working with Senior Investors

MILWAUKEE – July 16, 2015 – As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.

This webinar will discuss the unique needs of senior investors, steps your firm should take when working with this growing demographic, and the serious implications of FINRA and the SEC’s recent influx of disciplinary actions and investor alerts. Please join the discussion July 30 at 1pm.


1.) The Senior Investor – Demographics & Broker-Dealer Issues

  • Concerns Among US Investors
  • A Prime Target for Investor Abuse?
  • Loss of Clients and Serving the Client’s Children

2.) Seven Safety Measures When Working with Senior Investors

  • Observations
  • Potential Impacts
  • Broker-Dealer Best-Practices

3.) Regulatory Issues and FINRA Resources

  • Recent FINRA Cases
  • FINRA Resources for the Investor
  • Reference & Rule Review


The seat limit per session is 100 participants. The anticipated duration of this webinar is 45 minutes. If you or an associate is unable to attend the webinar series but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or sales@questce.com.


About Quest CE

For over twenty-five years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE also provides a complete spectrum of proprietary technology solutions for managing and supervising compliance risk exposures.

Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations seeking training and compliance needs. For more information on Quest CE, visit https://www.questce.com.