Wednesday, April 25, 2018 2:30 PM - 3:30 PM
Director, Legal Counsel
CHARLES SCHWAB & CO., INC.
Lone Tree, Colorado
In this session, attendees will learn:
• Updates on laws and rules affecting broker-dealers, investment advisers, and other nancial services professionals.
• What to expect when investigating senior issues and working with regulators.
• How other laws intersect with senior issues.
• How to protect your senior clients including prevention, identication, and action.