SEC Offers Free Training on Identifying and Reporting Elder Abuse
The SEC has announced a joint training program – with the North American Securities Administrators Association (NASAA) and the Financial Industry Regulatory Authority (FINRA) – titled Addressing and Reporting Financial...
July 07, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
January 13, 2021
The Canadian Securities Administrators (CSA) have proposed amendments to National Instrument 31-103 to enhance investor protection by addressing issues of financial exploitation and diminished mental capacity of older and vulnerable...
April 17, 2020
FinCEN Issues Financial Trend Analysis on Elder Financial Threats
A new analysis by the Treasury Department’s Financial Crimes Enforcement Network (FinCEN) shows that family members and caregivers are most often responsible for financial exploitation of the elderly. In Elders...
December 18, 2019
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