This course will discuss the problems of vulnerable clients in the areas of identity theft and financial exploitation. In both areas the focus will be on the regulatory response - enforcement and compliance - and on the obligations of securities firms and their registered representatives.
The presentation is divided into two lessons:
- Lesson 1 - Vulnerable Clients and Identity Theft
- Lesson 2 - Vulnerable Clients and Financial Exploitation
Upon completing this course, the student should have an understanding of the factors involved in client vulnerability and an awareness of the special responsibilities of the registered representative with regard to identity theft and financial exploitation.
After completing this course you should be able to:
- Define a "vulnerable client."
- Describe "identity theft" and the regulatory response to it.
- Identify and discuss the various "red flags" with respect to identity theft.
- Discuss in reasonable detail the concept of "suitability."
- Describe the special issues of suitability with respect to vulnerable clients.
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