2018 Webinar - Elder Financial Abuse and the Senior $afe Act

When:  Aug 23, 2018 from 3:00 PM to 4:15 PM (ET)

With enactment of the Senior $afe Act, investment advisers and other financial professionals have received a measure of relief in their increasingly challenging efforts to protect senior clients whom they suspect of being victims of elder financial abuse. Financial professionals now have safe harbor from civil liability when reporting suspected cases of elder financial abuse to authorities – if they have received proper training from their employers.

A panel of experts will explore the latest legislative and regulatory developments and provide guidance on appropriate policies, procedures, and training in this area. Topics they will discuss include:

  • Elder Financial Abuse
  • Senior $afe Act
  • Adviser Policies and Procedures
  • Training
  • What to Expect from Adult Protective Services: State Issues

Presenters

Alan P. Goldberg is Partner-in-Charge at Stradley Ronon Stevens & Young, LLP. His practice focuses on representing registered investment companies and their independent board members, registered investment advisers, sponsors to unregistered investment pools and family offices. Mr. Goldberg handles all aspects of creating registered investment companies and registering new investment advisers, including the establishment of compliance policies and procedures. He regularly prepares regulatory filings and applications on behalf of investment companies, including mutual funds, exchange-traded funds, closed-end funds, and investment advisers. He received his B.A. from the University of Pennsylvania and his J.D. from Temple University Beasley School of Law.

Michelle L. Jacko is the Managing Partner and CEO of Jacko Law Group, PC, which offers securities and corporate legal services to broker-dealers, investment advisers, hedge/private funds, investment companies and financial professionals. In addition, Ms. Jacko is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm. Previously, Ms. Jacko served as Of Counsel at Shustak & Partners, PC, as VP Compliance and Branch Manager, Home Office Supervision team at LPL Financial, as Legal Counsel of Investments and CCO at First American Trust, FSB, and as Compliance Manager at Nicholas-Applegate Capital Management. Ms. Jacko received her J.D. from St. Mary’s University School of Law and B.A. from the University of San Diego. She has served on the board of the National Society of Compliance Professionals (NSCP) and holds its Certified Securities Compliance Professional designation.

Ronald Long is the Director of Regulatory Affairs and Elder Client Initiatives, reporting to the Chief Compliance Officer of Wells Fargo Advisors. He works with business units helping them stay abreast of the changing regulatory environment and issues related to the aging client. He meets frequently with securities regulators, adult protective services, and others impacting the brokerage industry and elder clients. He has helped create guides for the older investor and increased awareness of investment professionals on concerns of older investors. Since 2006, Mr. Long has helped lead the securities industry’s review of engaging older clients. He is a frequent speaker at numerous conferences relating to financial services and meetings sponsored by the Institutes of Medicine, American Society on Aging, and the White House Conference on Aging. Mr. Long started his legal career at Hoge, Fenton, Jones and Appel, Inc., San Jose, California. He is a graduate of Williams College and received his law degree from Georgetown University Law Center.

Paul D. Glenn is IAA's Special Counsel and started at the IAA in 2006. Paul has worked at the US Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. Paul also has experience working for the OCC (OTS), and two financial institutions. Paul has his masters of law degree (LLM) from Georgetown University Law Center and his Juris Doctor and Bachelor of Arts (Political Science) from Case Western Reserve University. In 2010, Paul received an honorary doctor of laws degree from Nyack College, Nyack, NY. Paul is a member of the Bar of the Supreme Court of Ohio, the Supreme Court of the United States, and other federal courts.

Registration

Registration for the live webinar has closed.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. The reocrding link will be posted within five business days after the webinar.

Non-Member Registration Fees: The recording will be available for purchase after August 23. Contact iaaevents@investmentadviser.org to purchase the recording ($250).

Cancellation:
Cancellations and substitutions must be received in writing no later than noon ET on Wednesday, August 22. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Questions?

For questions regarding this call, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.