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.

SIFMAs 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 whats 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.

Registration questions? ContactCaitlin Sargent.

Early bird registration ended Friday, January 11, 2019.

Managing Director and Associate General Counsel, Federal Government Relations

President, FINRA Foundation and Senior Vice President, Investor Education

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.

Lisa Bleier, Ashley Hulting, Ronald Long, James S. Wrona

Managing Director and Associate General Counsel, Federal Government Relations

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.

Marin E. Gibson, Amanda Demas, Erin Linehan, Aisling Murphy, Jeanette Wingler

Managing Director and Associate General Counsel

Senior Counsel, Legal, Corporate & Compliance Group

US Attorneys Office for the Southern District of NY

US Attorneys Office for the Eastern District of NY

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.

Kyle R. Innes, Melissa Hegger Shea, Deborah Holt-Knight, Deena Schwartz, Esq., Karen Webber, CPA, CFE, William Zelenka

Assistant Vice President, State Government Relations and Assistant General Counsel

Vice President and Associate General Counsel, Legal

Brooklyn and the Bronx EMDT Coordinator and the EMDT Civil Legal Consultation Coordinator

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.

Managing Director and Associate General Counsel, Federal Government Relations

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New Yorks Financial District.

With a rare combination of advanced technologies and sophistication, SIFMAs Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New Yorks leading conference facilities.

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel Financial District

Residence Inn New York Downtown Manhattan / World Trade Center

Questions? ContactTamara Baileyat 212.313.1240.

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.

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 SIFMAs 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.

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.

Conference registration substitutions are welcome. EmailCaitlin Sargentwith the following information and we will confirm the change: original registrants full name, substitute registrants full name, mailing address, title, phone and email.

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.

Join the SIFMA Compliance & Legal Society Future Leaders, registration is now open. For registration questions, please contact SIFMA Compliance

Returning to Boca Raton, Florida, on May 69, the 46th annual SIFMA Operations Conference & Exhibition will gather operations, technology

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