North America’s Aging Demographics are widely known. The investment industry is at the forefront of addressing its challenges in a manner that is fair and reasonable to both its clients and its investment professionals.
This session explores U.S. and Canadian approaches to common yet difficult questions such as:
- How can or should investment professionals respond to cognitive decline or possible cognitive decline?
- What are the real and perceived ‘safe harbours’ available to both investors and investment professionals?
- How are industry professionals responding to these questions in a balanced manner?
- What are the common issues that arise from investor complaints where the accountholder has cognitive impairment and how are they best resolved?
This session is eligible for 1.5 Compliance OR Professional Development credit from IIROC accreditations.
Speakers
Kenneth E. Bentsen, Jr.
President and CEO
Securities Industry and Financial Markets Association (SIFMA)
Benjamin Brown
Executive Director – Governance and Controls
CIBC Wealth Management
Marie-Emmanuèle Cardinal
Assistant Vice-President – Client Complaints, Legal Affairs, Financial Markets and Wealth Management
National Bank Financial
Ron Long
Head – Elder Client Initiatives Center of Excellence
Wells Fargo & Company
Laura Paglia
President and CEO
Investment Industry Association of Canada (IIAC)
Joel Sauer
Director – Senior and Vulnerable Investor Investigations
Charles Schwab
