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Conducting Business with Senior Investors - Observations & Practices (Hardcover)
Loot Price: R3,940
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Conducting Business with Senior Investors - Observations & Practices (Hardcover)
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In 2015, the Social Security Administration estimated that each day
for the next 15 years, an average of 10,000 Americans will turn 65.
In this context, the staff of the Securities and Exchange
Commission (SEC) and the Financial Industry Regulatory Authority
(FINRA) issued a report to help broker-dealers assess, craft, or
refine their policies and procedures for senior investors as they
prepare for and enter into retirement. This book includes
observations and practices identified in examinations that focused
on how firms conduct business with senior investors. The
examinations by the SEC's Office of Compliance Inspections and
Examinations (OCIE) and FINRA focused on the types of securities
purchased by senior investors, the suitability of recommended
investments, training of brokerage firm representatives, marketing,
communications, use of designations such as "senior specialist,"
account documentation, disclosures, customer complaints, and
supervision.
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