Kelly Brennan talks about the new laws and regulations that empower financial institutions.
Kelly Brennan is an experienced JD offering seventeen years of experience in investigations, regulation, regulatory relations, risk...
Haile Arrindell is the senior strategic marketing manager for Thomson Reuters’ Legal Know-How group (Practical Law, Practical...
Elderly investors or those with a mental or physical disability may be unable to make sound financial decisions on their own and are more vulnerable to exploitation. In this episode of Thomson Reuters: Down the Hall with Practical Law, host Haile Arrindell talks to Kelly Brennan about the new laws and regulations that empower financial institutions to act when they suspect financial exploitation of elderly or otherwise impaired investors. They discuss what this new legal framework looks like and what they require from financial professionals. They also share how financial professionals can recognize which investors have a diminished capacity to make important monetary decisions.
Kelly Brennan is an experienced JD offering 17 years of experience in investigations, regulation, regulatory relations, risk management, and compliance in the financial services industry.
Webinar: Senior and Vulnerable Investors: What You Need to Know about the Law and Diminished Capacity
|Published:||August 21, 2018|
|Podcast:||Thomson Reuters: Down the Hall with Practical Law|
Thomson Reuters: Down the Hall with Practical Law
No legalese, just expertise on trending legal topics.