Register Now for the C&L Monthly Luncheon, February 26. Please join SIFMA's C&L Society for a conversation with Susan Axelrod…
Senior Investor Protection Regional Workshop
Join SIFMA for a morning of practical learning and information sharing among key stakeholders on how best to protect our senior investors.
The 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 morning event will take place at LPL Financial in Fort Mill, SC, just outside of Charlotte, NC.
8:00am – 8:30am
8:30am – 8:40am
8:40am – 8:50am
A brief overview of some of the latest research concerning the aging brain and financial decision-making.
Marin E. Gibson
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.
Monica Buchheit, Leo Bohland, John C. Curry, John Zuck
10:05am – 10:20am
10:20am – 10:30am
Take a brief look into the recent legal developments, including the new Report & Hold laws and rules.
Lisa J. Bleier
10:30am – 11:45am
Panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline.
Kyle R. Innes, Sarah Gill, Erin Linehan, Brian Shobert
11:45am – 1:00pm
A hands-on session where participants will walk through multiple exploitation/decline situations in small groups.
1:00pm – 1:15pm
A wrap-up session to discuss lessons learned during the breakouts
1:15pm – 2:30pm
1055 LPL Way
Fort Mill, SC 29715
LPL Financial is located in Fort Mill, South Carolina, which is approximately 15 miles outside Charlotte, North Carolina.
Stay tuned for a comprehensive guide to all sponsorship opportunities available at this conference.
Questions? Contact Tamara Tondu at 212.313.1240.
SIFMA's Strategic Partners
Certified Financial Planner Credits (CFP)
This year’s program is eligible for up to 6.5 CFP credits.
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:
- New Jersey
- New York
- North Carolina
- South Carolina
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.
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.
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.
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.
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.