Senior/Vulnerable Clients - Compliance Package
This package consists of seven different documents RCC has created in light of the passage of the Senior Safe Act and regulatory trends moving to protect senior investors. Included with Platinum Packages.
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Product Description
If each of these products were purchased a la carte they would cost a total of $800.95. This package allows you to get all of these materials, which can be implemented throughout your firm, for $495. This package includes:
1. Senior/Vulnerable Clients - Training (PowerPoint)
2. Senior/Vulnerable Clients - Training Quiz
3. WSP/CoE Section Update - Protecting Older and Vulnerable Clients with Diminished Capacity
4. Senior/Vulnerable Clients - Client Authorization to Communicate with Trusted Emergency Contact
5. Senior/Vulnerable Clients - State Reporting Requirements
6. Senior/Vulnerable Clients - Internal Reporting Form for Exploitation
These sample forms should be considered as a starting point; the investment adviser firm will need to customize these sample forms to its business model and policies and procedures.
Please see our disclosure about the limitations of sample forms at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document. For an instructional video, please visit http://ria-compliance-consultants.com/subscription-account-demo/
Included with Platinum Packages. Last updated July 2018.