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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