Confused about the new FINRA rule requirements around senior and vulnerable adult exploitation? Not sure what you should be doing to protect your firm and your clients? Oyster Consulting will be discussing how firms can protect their senior clients and themselves at Charles Schwab’s conference series in New York, Dallas, San Francisco and Los Angeles.
Developing policies, procedures, and training unique to your firm is time consuming, requires a deep knowledge of the subject and regulatory environment, and can have costly repercussions if it is not done correctly. Oyster Consulting has developed comprehensive Written Supervisory Procedures and Policies and Procedures that, once customized to your firms’ products and lines of business, will enable you to mitigate risks associated with vulnerable investor clients. When exploitative instances occur, Oyster’s Policies & Procedures provide guidance for identifying, reporting to appropriate state agencies, monitoring and resolving these events. Our training modules are thorough, easy to use, and can be quickly customized to your firm’s requirements.
For more information complete our contact form or call us at (804) 965-5400 and one of our Relationship Managers will be happy to assist you.