Financial Services Industry Experts Speak

NASAA is pleased to announce the next installment of NASAA’s Senior Issues and Diminished Capacity Committee Presents. In this complimentary, 90-minute webcast, you will hear from the financial services industry’s leading voices and better understand how they work to mitigate exploitation. You will learn how they construct their programs, train personnel, educate clients and interface with state agencies. Our speakers will discuss their best practices and how they may be adapted to different circumstances to protect vulnerable investors.

CLE credits will be available on a self-reporting basis.

Click Here To Register


May 4, 2022
2:30 p.m. EDT | 1:30 p.m. CDT | 12:30 p.m. MDT | 11:30 a.m. PDT

Welcoming Remarks
Melanie Senter Lubin, NASAA President and Commissioner, Maryland Division of Securities

Program Host
Richard Szuch, Chair, NASAA's Senior Issues and Diminished Capacity Committee, New Jersey Bureau of Securities.

Session 1 : How Firms Work to Mitigate Exploitation

  • Nancy Heffner, The Lincoln Investment Companies, Director of Compliance
  • Ron Long, Wells Fargo Advisors, Director of Elder Client Initiatives
  • Heather Murphy, Commonwealth Financial Network, Director, Deputy Chief AML Officer
  • Thomas W. Mierswa Jr., Morgan Stanley, Executive Director in the Branch Advisory Group of the Legal and Compliance Division
  • Debbie Noury, Fidelity Investments, Senior Director of Elder Financial Investigations

Learn how firms staff and manage their departments, how they work to detect and prevent financial exploitation and how they coordinate their efforts with governmental agencies and other stakeholders. Attendees will learn about training client-facing staff, investigative processes, privacy concerns and other issues.       

Session 2: Centralized Reporting of Exploitation

  • Marin E. Gibson, SIFMA Managing Director and Associate General Counsel, State Government Relations
  • Ron Long, Wells Fargo Advisors, Director of Elder Client Initiatives
  • Debbie Noury, Fidelity Investments, Senior Director of the Elder Financial Investigations

In most jurisdictions, firms may, or must, report suspected vulnerable investor exploitation to state securities regulators, adult protective services agencies or both. The reporting structure is fragmented, however, as each state has local rules on how and when to report, and to whom. In this context, our panel will discuss how five states are pilot testing a centralized reporting system, called HelpVul, that aims to eliminate the localized variables in the current reporting system.

Our panelists have direct experience using HelpVul, based on real- time efforts to stop exploitation. In addition to describing its use, they will discuss data privacy and other issues that regulators and financial services firms should consider before opting in to such a network.

Meet Your Speakers


Melanie Senter Lubin
NASAA President and Commissioner, Maryland Division of Securities
 

Richard Szuch
Chair, NASAA's Senior Issues and Diminished Capacity Committee, New Jersey Bureau of Securities


Marin E. Gibson
SIFMA Managing Director and Associate General Counsel, State Government Relations



Nancy Heffner
The Lincoln Investment Companies, Director of Compliance


Ron Long

Wells Fargo Advisors, Director of Elder Client Initiatives


Thomas W. Mierswa Jr.

Morgan Stanley, Executive Director, Branch Advisory Group of the Legal and Compliance Division


Heather Murphy
Commonwealth Financial Network, Director, Deputy Chief AML Officer

Debbie Noury
Fidelity Investments, Senior Director, Elder Financial Investigations

CLE credits will be available on a self-reporting basis.

Click Here To Register

Registration Instruction  

Step 1: Click on "Click Here to Register" above.
Step 2: Once you get to NASAA Learning, click on "Log In."
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Step 5: Click on "NASAA's Senior Issues and Diminished Capacity Committee Presents: Financial Services Industry Experts Speak.
Step 6: Click on "Register Here."
Step 7: Click on the black "Register (free)" button to complete registration.
Step 8: "You are Registered" should appear on the top right of the page.
Step 9: Check your email for a registration confirmation. The instructions to log into the virtual meeting will be sent to you prior to the event.

For additional information please email us at register@nasaa.org.
When
5/4/2022

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