Securities Industry Institute
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Senior Investor Protection Conference
Overview
FINRA rules 2165 and 4512, which provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all of their clients, took effect February 5, 2018.
SIFMA’s Senior Investor Protection Conference will bring together industry experts and regulators on Tuesday, February 5, in NYC to discuss the impact of these rules one year later. The conference will also explore other new tools in the marketplace – and what’s in the works – to defeat elder financial exploitation.
The conference program will include the latest research, recent legal and legislative developments, and on-going strategies to help protect senior investors.
Senior Investor Protection Conference
One Year Later: FINRA Rules 2165 and 4512
Registration Closed
Overview
FINRA rules 2165 and 4512, which provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all of their clients, took effect February 5, 2018.
SIFMA’s Senior Investor Protection Conference will bring together industry experts and regulators on Tuesday, February 5, in NYC to discuss the impact of these rules one year later. The conference will also explore other new tools in the marketplace – and what’s in the works – to defeat elder financial exploitation.
The conference program will include the latest research, recent legal and legislative developments, and on-going strategies to help protect senior investors.
Register
| Early Bird Rates | $295 |
|---|---|
| Pre-Conference Rates | $345 |
| On-Site Rates | $395 |
| Early Bird Rates | $445 |
|---|---|
| Pre-Conference Rates | $495 |
| On-Site Rates | $545 |
| Early Bird Rates | $150 |
|---|---|
| Pre-Conference Rates | $150 |
| On-Site Rates | $150 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Early Bird Rates | $295 | $445 | $150 |
| Pre-Conference Rates | $345 | $495 | $150 |
| On-Site Rates | $395 | $545 | $150 |
Program
8:00am – 2:45pm
Registration
8:00am – 8:30am
Continental Breakfast
8:30am – 8:40am
Participants
Lisa Bleier
Speaker
8:40am – 8:55am
Participants
Gerri Walsh
Speaker
8:55am – 10:10am
Panelists will discuss the implementation of Rule 2165, which provides a safe harbor for firms to place a temporary hold on disbursements when senior financial exploitation is suspected. This discussion…
Panelists will discuss the implementation of Rule 2165, which provides a safe harbor for firms to place a temporary hold on disbursements when senior financial exploitation is suspected. This discussion will include identifying instances to utilize the hold, as well as actions the firm can take once the hold is in place.
Participants
Lisa Bleier, Ashley Hulting, Ronald Long, James S. Wrona
Moderator
Panelists
10:10am – 10:30am
Networking Break
10:30am – 11:45am
Panelists will discuss the implementation of Rule 4512, which requires firms to request information about a “trusted contact” for senior clients as a resource for protecting assets and responding to…
Panelists will discuss the implementation of Rule 4512, which requires firms to request information about a “trusted contact” for senior clients as a resource for protecting assets and responding to suspected financial exploitation. This discussion will include how to have the conversation with clients, as well as when and how the institution will utilize the contact information.
Participants
Marin E. Gibson, Amanda Demas, Erin Linehan, Aisling Murphy,
Moderator
Panelists
11:45am – 12:00pm
Participants
Diane Gujarati, Julia Nestor
Speakers
12:00pm – 12:45pm
Networking Lunch
12:45pm – 2:00pm
Panelists will explore what investigations into elder financial exploitation look like - and how they differ - from the perspective of financial firms, adult protective services, and law enforcement.
Panelists will explore what investigations into elder financial exploitation look like – and how they differ – from the perspective of financial firms, adult protective services, and law enforcement.
Participants
, Melissa Hegger Shea, Deborah Holt-Knight, Deena Schwartz, Esq., Karen Webber, CPA, CFE, William Zelenka
Moderator
Panelists
2:00pm – 2:30pm
A brief look at resources available for firms, including reference databases and training opportunities, to bolster firms’ senior protection initiatives.
A brief look at resources available for firms, including reference databases and training opportunities, to bolster firms’ senior protection initiatives.
Participants
Jilenne Gunther, MSW, JD, Andrew Sidman
Speakers
2:30pm – 2:45pm
Participants
Lisa Bleier
Speaker
Venue
SIFMA Conference Center
120 Broadway
Floor 2
New York, NY 10271
Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.
With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.
Accreditation
CLE Credit
SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits.
Media
Media Inquiries
Contact Lindsay Gilbride at 202.962.7390.
Media Registration
Contact Evan Grogan at 212.313.1134.
Policy
View SIFMA’s official press policy.
Terms and Conditions
Policy
SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference.
Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.
Substitutions
Conference registration substitutions are welcome. Email Caitlin Sargent with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.
Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.