Updated Saturday, April 19, 2014 as of 12:25 AM ET
Practice - Regulatory/Compliance
Regulators to Zero in on Elderly Client Protections
Wednesday, January 29, 2014
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WASHINGTON -- As waves of baby boomers head into retirement, state and federal regulators expect to take a hard look at the programs firms have in place to ensure they are selling elderly investors appropriate financial instruments and protecting them from unscrupulous third parties, according to regulators and compliance experts speaking at the Financial Services Institute's OneVoice conference.

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