Overview

Senior Investor Protection Regional Workshop

Date

July 10, 2019

Location

Cincinnati, Ohio

Registration Rates – Until 7/10/19

  • Member $49
  • Non-Member $99
  • Regulator $49

Overview

Join SIFMA for a morning of practical learning and information sharing among key stakeholders on how best to protect our senior investors.

This unique program will educate participants on the impact of cognitive decline; the anatomy of an investigation; recent legal and regulatory development; and promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline. Plus, participants will tackle real-life scenarios from beginning to end in a small-group setting.

This regional workshop will take place at Fidelity Investments in Cincinnati, Ohio.

Program

8:00am – 8:30am

Registration and Continental Breakfast

8:30am – 8:40am

Participants

Lisa Bleier

Speaker

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

8:40am – 8:50am

A brief overview of some of the latest research concerning the aging brain and financial decision-making.

A brief overview of some of the latest research concerning the aging brain and financial decision-making.

Participants

Lisa Bleier

Speaker

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

8:50am – 10:05am

What do investigations into senior financial exploitation look like - and how do they differ - from the perspective of financial firms, adult protective services, and law enforcement?

What do investigations into senior financial exploitation look like – and how do they differ – from the perspective of financial firms, adult protective services, and law enforcement?

Participants

Kyle R. Innes, Melissa Hegger Shea, Janice Hitzeman, Stephanie C. Hull, MSW/LSW, Mary Trotman

Moderator

Kyle R. Innes

Assistant Vice President, State Government Relations and Assistant General Counsel

SIFMA

Kyle R. Innes’s Biography

Panelists

Melissa Hegger Shea

Vice President and Associate General Counsel, Legal

Fidelity Investments

Melissa Hegger Shea’s Biography

10:05am – 10:20am

Networking Break

10:20am – 10:35am

Participants

Kathryn Anderson

Speaker

10:35am – 10:45am

Participants

Marin E. Gibson

Speaker

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’s Biography

10:45am – 12:00pm

Panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline.

Panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline.

Participants

Gary Klein, Debbie Noury CFE, CFCI

Moderator

Gary Klein

Vice President, Legal

Fifth Third Bank

Gary Klein’s Biography

Panelist

Debbie Noury CFE, CFCI

Senior Director, Elder Financial Exploitation Investigations

Fidelity Investments

Debbie Noury CFE, CFCI’s Biography

12:00pm – 1:15pm

A hands-on session where participants will walk through multiple exploitation/decline situations in small groups.

A hands-on session where participants will walk through multiple exploitation/decline situations in small groups.

1:15pm – 1:20pm

Participants

Lisa Bleier

Speaker

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

1:20pm – 2:00pm

Networking Lunch

Venue

Fidelity Investments, Cincinnati

100 Crosby Pkwy
Cincinnati, OH 41015

Accreditation

Certified Financial Planner Credits (CFP)


This year’s program is eligible for up to 6.5 CFP credits.

CLE Credit

CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants. SIFMA will offer CLE credits for the following states:

  • California
  • Colorado
  • Florida
  • Missouri
  • New Jersey
  • New York
  • North Carolina
  • South Carolina
  • Texas

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. Attendees do not need to certify after each panel. CLE Credit cannot be certified after the Seminar adjourns.

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Evan Grogan at 212.313.1134.

Policy
View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.