• CCG

Dealing with Alzheimer’s Disease


FINRA views the protection of senior investors, as well as baby boomers who are retired or approaching retirement, as a top priority. Because a large number of American investors are approaching retirement and control a substantial portion of investment assets, FINRA encourages firms to review and, where warranted, enhance their policies, procedures and practices, in light of the special issues common to many senior investors.  For example, a firm's procedures and controls should take into consideration the age and life stage (whether pre-retired, semi-retired or retired) of their customers.

This is also important when dealing with a senior investor with dementia and Alzheimer’s.   In a article posted by FA-mag.com titled When Financial Advice Meets Alzheimer’s Disease, it talks about how important it is to work closely with a client as they battle with this disease.  With Alzheimer’s disease, daily tasks can become a struggle.  Understanding their financial landscape can be overwhelming for the client and their family.  Insuring you have policies and procedures in place to address these types of circumstances is extremely important.

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