NASAA's Senior Issues Committee Presents: Behavioral Research/IA Systems and Solutions

Industry event Past Event
May 18, 2023
02:30 pm  -  04:30 pm
Event Details

The North American Securities Administrators Association (NASAA) is hosting a “NASAA Senior Issues Committee Presents” webcast on May 18, from 2:30 – 4:30 p.m. ET. This webcast is complimentary and open to the public.

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
  • Meera 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
Event Image
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