WASHINGTON, D.C. – (April 21, 2023) – The North American Securities Administrators Association (NASAA) is pleased to announce the speakers and agenda for the next “NASAA Senior Issues Committee Presents” webcast. The webcast, scheduled for May 18, from 2:30 – 4:30 p.m. ET, is complimentary and open to the public. You can register for the event here.
“Our upcoming webcast is aimed at educating all of the stakeholders joined in the fight to better detect and prevent the financial exploitation and abuse of retirement-stage investors. I want to thank and commend Rich Szuch and the members of the NASAA Senior Issues Committee for organizing this important program,” said NASAA President Andrew Hartnett.
There will be two learning segments. In the first, panelists will present research about the effects of gamification, digital engagement and the recent volatile market environments on investor behavior. In the second, industry experts will discuss systems and solutions for investment advisers encountering senior and vulnerable investor fraud, including how to construct and manage systems to mitigate harm and execute quickly when needed to stop abuse or exploitation.
The webcast will begin with opening remarks from President Hartnett; Richard Szuch, NASAA’s Senior Issues Committee Chair and the New Jersey Bureau of Securities’ Enforcement Chief, will host the program.
Webcast panelists are:
- Tyler Fleming, Director, Investor Office, Ontario Securities Commission
- William Nelson, Associate General Counsel, Investment Adviser Association
- Merra Paleja, Ph.D., Program Head, Investor Research and Behavioral Insights, Ontario Securities Commission
- Jennifer Szaro, Chief Compliance Officer, CRCP, XML Financial Group
- Olivia Valdes, Associate Principal Research Analyst, FINRA Investor Education Foundation
- Gerri Walsh, President, FINRA Investor Education Foundation
- Rodnee Warr, Elder Client Initiatives Manager, Wells Fargo Advisors
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of the securities regulators in the 50 states, the District of Columbia, Puerto Rico, Guam, the U.S. Virgin Islands, the 13 provincial and territorial securities regulators in Canada, and the securities regulator in México. For more information, visit www.nasaa.org.
For More Information:
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