Michelle Jacko to Speak for 2023 Investment Adviser Compliance Conference
March 12-14, 2023 | Investment Adviser Compliance Conference | Speaker: Michelle L. Jacko, CSCP, CEO
Senior Safe Act: Understanding and Reporting Financial Exploitation
As adults ages 65 years and up have become the fastest growing demographics in America, they now make up the majority population of American investors. Due to the nature and vulnerability of seniors, there is renewed interest for Financial Professionals … Read More
Meeting Current and Future Challenges of Serving Aging Clients
CEO 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 … Read More
Senior Investor Protection Steps for Investment Advisers
The fiduciary standard of care required by investment advisers is well established and is a major component of every client relationship. Investment advisers are tasked with the financial health of their clients and safe keeping of nest eggs built over … Read More
Episode 92: The Continued Regulatory Focus on Senior Investor Protections
On Episode 92 of the CCO Buzz podcast, we discuss Senior Investor Protections, which is a topic that should be assessed and evaluated annually.
State Regulators Want Advisers to Escalate Their Efforts to Protect Elderly Clients
Protecting senior investors from financial exploitation has long been a primary focus of state regulators who say most state advisers still lack adequate procedures to do so.
A COVID Vaccination Isn’t the Only Way to Help Seniors and Provide Immunity for Employees
If Willie Sutton were alive today, he might be targeting seniors instead of robbing banks. Why? Because that’s where the money is. An ongoing and rapid increase in the size of the nation’s 65-and-over population and the disproportionate wealth among … Read More
The New ERISA Exemption – What Financial Professionals Need to Know
The Employee Retirement Income Security Act of 1974, as amended (“ERISA”), contains provisions that restrict fiduciaries to retirement plans from engaging in certain activities. These prohibited activities include, among other things, self-dealing, implementing principal transactions,[1] and receiving compensation from third … Read More
Episode 86: The New ERISA Exemption Rule
On Episode 86 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell joins us to discuss the new ERISA exemption for financial professionals.
Steps Advisers and Investors Can Take to Protect Against Potentially Fraudulent Investments in a Post-Madoff World
Almost 12 years have passed since Bernie Madoff was sentenced to 150 years in prison with restitution of $170 billion for perpetrating an elaborate Ponzi scheme that harmed thousands of clients. Widely regarded as the largest fraudulent investment scandal in … Read More