Webinar: Senior and Vulnerable Adult Client Protection

DST Systems

Webinar | April.26.2018 | 10am - 11am (Central Daylight Time (GMT -05:00))


you're invitedIn this webinar, Orrick partner Daniel Nathan will discuss the evolving regulatory focus on the treatment by broker-dealers of senior and vulnerable clients, including new rules and best practices. Dan will be joined at this webinar, which will be hosted by DST Systems, Inc., by Nick Nichols, DST’s Vice President of Risk and Compliance as moderator, and Martin Orbach, DST’s Vice President of Anti-Money Laundering and Regulatory Compliance Solutions.

Webinar topics include:

  • FINRA’s newly-enacted rules and regulations
  • Best practices for identifying and protecting people at risk
  • How technology can help monitor daily transactions and detect unusual behavior based on pre-defined parameters

CLE Credits Available: N