Wednesday, Aug. 20, 2025
Virtual/Zoom
12:00-1:00 p.m. ET
Complimentary
Looks like the regulators hit the snooze button — again. With the SEC Anti Money Laundering (AML) rules for investment advisers delayed until Jan. 1, 2028, we are pivoting to a more urgent topic: protecting seniors and vulnerable adults. While AML can wait, understanding how to support and safeguard these clients can’t. Join us for a timely and practical discussion around how to protect vulnerable clients and your firm.
The third installment of Warner’s Funds and Investments Industry Group Roundtable Series will focus on the difficult and important role financial advisers play in identifying and protecting seniors and vulnerable adults.
We’ve all faced it: A client suddenly shows signs of diminished capacity or vulnerability and the uncertainty that follows. By 2030, nearly one in five U.S. residents will be 65 or older, collectively controlling $26 trillion – over 70% of the nation’s disposable income.
Understanding this demographic’s financial needs isn’t just good practice, it’s a professional responsibility wrapped in liability. This CCO Roundtable installment will help you recognize red flags, navigate sensitive situations and deliver financial services that are both compassionate and compliance focused.
Discussion Topics Will Include:
- Understanding statutory guidance designed to protect financial professionals.
- Preventative actions to facilitate compliance.
- Identifying red flags: cognitive decline, financial scams and elder abuse.
- Escalation involving family, law enforcement, adult protective services or others.
Chief compliance officers and those with equivalent responsibilities are invited to participate. To encourage open and candid discussion, we ask that roundtable conversations be treated confidentially.
Register for this roundtable event by clicking the link below. Once you register, you will receive an invitation with event information and the Zoom link. Please follow the steps to add the invitation to your calendar.
Watch our next virtual CCO Roundtable Series invitations scheduled for Nov. 19, 2025, from 12:00 noon to 1:00 p.m.
