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Protect Your Vulnerable Customers: Combating Investor Fraud
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - May 18, 2023 13:00 - 27 minutes - 18.9 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: DOL PTE 2020-02 - What Comes Next
The investing population has grown and so has their wealth. This is good for their finances, but also creates more opportunities for fraud and abuse. Bob Mooney, General Counsel of Oyster Consulting, and Ron Long, Principal of Long Life Consulting, walk through the issues around protecting elder and vulnerable investors against fraud and abuse, and what financial services firms are doing to combat it.
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