Meeting Current and Future Challenges of Serving Aging Clients

Managing Partner Michelle Jacko’s article, “Meeting Current and Future Challenges of Serving Aging Clients,” was published in the February 2022 issue of Charles Schwab’s Compliance Review newsletter.

In the article, Michelle reviews regulations that apply to investment advisors servicing seniors, including the below items:

  • Guidance as provided by the North American Securities Administrators Association (“NASAA”) and the Financial Industry Regulatory Authority (“FINRA”) relating to senior protections
  • Proposed modifications to FINRA’s “Financial Exploitation of Specified Adults” and “Trusted Contact Person” rules (Rules 2165 and 4512,
    respectively)
  • Special considerations for developing compliance controls for seniors

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