Hardin News | Seniors and Vulnerable Investors | States

Practical Thought Leadership – Seniors & Vulnerable Investors

Hardin is pleased to share this recent contribution to the March 2020 issue of the National Society of Compliance Professionals’ (NSCP) Currents newsletter.

In “Senior Safe” Legislation – A Carrot and Stick, Carolyn W. Mendelson, Senior Compliance Consultant, explores state and federal regulatory developments regarding the protection of senior and vulnerable investors, including California’s recent law requiring mandatory reporting of suspected financial fraud against seniors and vulnerable persons.  In addition to timely analysis, this article contains practical guidance firms should consider when reviewing their policies, procedures and training programs.

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Hardin Compliance Consulting provides links to other publicly-available legal and compliance websites for your convenience. These links have been selected because we believe they provide valuable information and guidance.  The information in this e-newsletter is for general guidance only.  It does not constitute the provision of legal advice, tax advice, accounting services, or professional consulting of any kind.

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