SENIORS-FOCUSED PODCASTS AND WEBCASTS
The “NASAA’s Senior Issues and Diminished Capacity Committee Presents” is a free webcast that provides an inclusive platform for learning from the best and brightest minds who will discuss issues that matter most to those dealing with at-risk investors. This event is open to NASAA members and those interested in learning more about at-risk investor protection issues.
NASAA’s Senior Issues Committee Presents: Behavioral Research/IA Systems and Solutions
Recorded: May 18, 2023
This webcast featured two learning segments. In the first, we presented research about the effects of gamification, digital engagement and the recent volatile market environments on investor behavior. In the second, industry experts discussed systems and solutions for Investment Advisers encountering senior and vulnerable investor fraud, including how to construct and manage systems to mitigate harm and execute quickly when needed to stop abuse or exploitation.
Watch a recording of the webcast
NASAA’s Senior Issues and Diminished Capacity Committee Presents: Securities Regulators and Adult Protective Services Agents Speak
Recorded: November 3, 2022
This, webcast featured knowledgeable securities regulators and adult protective services professionals who work in the trenches to combat at-risk investor abuses. Our guests discussed the issues that they confront and the methods that they use to mitigate exploitation.
Our panel highlighted new trends that they see, enforcement work to stop the frauds, multidisciplinary teams working at the local, state and federal level, training and education initiatives and more. They also examined how the SEC, FINRA, the states and APS agencies work together, and separately, in this space.
Watch a recording of the webcast.
NASAA’s Senior Issues and Diminished Capacity Committee Presents: Cognition: Problems and Solutions
Recorded: May 4, 2022
Posted: July 6, 2022
This webcast is the second in NASAA’s webcast series, NASAA’s Senior Issues and Diminished Capacity Committee Presents. It addresses the theme “Financial Services Industry Experts Speak.” In this recording, speakers from the financial services industry discuss how they work within their firms and with other stakeholders to mitigate vulnerable investor harm.
NASAA’s Senior Issues and Diminished Capacity Committee Presents: Cognition: Problems and Solutions
Recorded: February 3, 2022
Posted: March 10, 2022
NASAA is pleased to announce the premiere episode of its new webcast series, “NASAA’s Senior Issues and Diminished Capacity Committee Presents.” The premiere episode, Cognition, Problems and Solutions, focuses on new ways to better understand the brain and cognition. Presenters discuss how environment, age, gender, and other factors can impact an investor’s ability to make sound financial decisions and the steps that can be taken to prevent exploitation.
Senior Connection
To contact the securities regulators in your state or province, visit NASAA’s interactive map to contact your state or provincial securities regulator and to find other valuable resources for older individuals.
