Webinar Senior and Vulnerable Adult Client Protection

Join us for a Senior and Vulnerable Adult Client Protection webinar hosted by DST's VP of Risk and Compliance Nick Nichols as moderator, and featuring guest speakers Martin Orbach, Vice President-Anti-Money Laundering and Regulatory Compliance Solutions with DST, and Daniel Nathan, Partner at Orrick, Herrington & Sutcliffe LLP, former VP and Director of Regional Enforcement for FINRA and former Assistant Director, SEC Division of Enforcement.

Webinar topics include:

  • Newly-Enacted Rules and Regulations: Get up to speed on FINRA rule requirements 2165 and 4512 for disbursement holds where financial exploitation of a senior or vulnerable client is suspected, along with designating a trusted contact.
  • What Firms Should Do Now and How DST Can Help:
    • Learn the most efficient ways to identify people at risk.
    • Find out how technology can help monitor daily transactions and detect unusual behavior based on pre-defined parameters.

When: April 26, 2018, 10:00 – 11:00 a.m. Central Time

Nick Nichols photograph
Nick Nichols
Moderator
Vice President Risk and Compliance
DST Systems
Martin Orbach photograph Martin Orbach
Guest Speaker
Risk & Compliance Solutions
DST Systems
Daniel Nathan photograph Daniel Nathan
Guest Speaker
Partner at Orrick, Herrington & Sutcliffe LLP
Former VP and Director of Regional Enforcement for FINRA
Former Assistant Director, SEC Division of Enforcement


Complete the following form to register for the webinar. Webinar details will be sent after your registration is processed.





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