News & Analysis as of

Vulnerable Victims

OIG asks: Are CPD programs available to undocumented immigrants?

by Ballard Spahr LLP on

Today, the HUD Office of Inspector General (OIG) published a bulletin indicating that it is unclear if undocumented immigrants have access to certain HUD Community Planning and Development (CPD) programs – namely the Housing...more

FINRA Moves to Protect Seniors and Other Vulnerable Persons

by Carlton Fields on

FINRA has taken another step to protect against what it calls "financial exploitation of vulnerable individuals or individuals with diminished capacity." These include seniors (at least age 65) and persons (at least age 18)...more

Tennessee Is Protecting Grandma with New Legislation

Tennessee is protecting Grandma! Two pieces of legislation were approved this year: the Elder and Vulnerable Adult Protection Act, which is on its way to Gov. Haslam to be signed into law, and the Elderly and Vulnerable Adult...more

FINRA's Newest One-Two Punch

by Reminger Co., LPA on

On February 3, 2017, the SEC approved: (1) new FINRA Rule 2165 (Financial Exploitation of Specified Adults[1]) permitting members to place temporary holds on certain customer accounts where there is a reasonable belief of...more

SEC Approves New Rules Enabling Financial Advisors to Defend Vulnerable Clients from Exploitation

by Stinson Leonard Street on

Financial exploitation of aging and mentally diminished investors by family members and third parties is on the rise. With America's senior population growing rapidly, this problem may only get worse. More than half of all...more

Expect Focus - Life Insurance: Risky Business, Volume I, March 2017

by Carlton Fields on

Regulators Demand Third-Party Risk Management - While third-party risk management has been a required component of an effective enterprise risk management program for many years, the topic is receiving elevated...more

Securities Legislative Update – Elderly Investors 2017

The SEC recently approved FINRA’s proposed rule aimed at preventing fraud and abuse of senior investors. On March 30, FINRA issued Regulatory Notice 17-11, setting the effective date for the new rule as February 5, 2018. The...more

Signs of an Active 2017 for Laws Protecting Vulnerable Adults from Financial Exploitation

by Carlton Fields on

The North American Securities Administrators Association (NASAA)’s Model Legislation or Regulation to Protect Vulnerable Adults from Financial Exploitation (Model Act) gained traction in 2016 and appears poised for even more...more

SEC Approves FINRA Efforts to Protect Seniors and Other Vulnerable Persons

by Carlton Fields on

The SEC recently approved an amendment to FINRA Rule 4512 that requires FINRA members to make reasonable efforts to obtain, from each customer for whom they maintain an account, specified information about a “trusted contact...more

Conservatorships and Guardianships in Tribal Courts: What Tribes Need to Know

by Holland & Knight LLP on

Many tribes are considering, or have already implemented, the capability for their tribal courts to handle protective proceedings for older and developmentally disabled tribal members, as well as other vulnerable adults who...more

UK Financial Regulatory Developments - January 2016 #1

by Dentons on

TIA publishes guidance on paperless transfers - TIA has published industry guidance on paperless renunciation or transfer of units or shares in authorised investment funds. The guidance sets out measures that operators...more

FINRA and NASAA Proposals to Protect Vulnerable Customers

by Carlton Fields on

The Financial Industry Regulatory Authority (FINRA) is seeking comments on proposed rules addressing financial exploitation of (i) seniors (age 65 or older), and (ii) other adults with mental or physical impairments that...more

White House Report Offers Ideas for Streamlining, Improving Immigration System

by Ronald Shapiro on

The White House, in concert with the Secretary of State and U.S. Department of Homeland Security (DHS), has issued a report that proposes ways improve the legal immigration process. The report, Modernizing & Streamlining Our...more

FDA's Cybersecurity Alert Puts Medical Device Users on Notice

by Baker Donelson on

On July 31, 2015, the United States Food and Drug Administration (FDA) issued a cybersecurity alert to health care facilities currently using certain infusion pumps manufactured by Hospira, Inc. The alert warns health care...more

What is a "Material Change" Affecting Off The Plan Sales?

by K&L Gates LLP on

The Supreme Court of Victoria has recently decided a case that highlights a number of issues for off the plan sales and developments in Victoria. The Court addressed situations where purchasers are entitled to rescind...more

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Cybersecurity

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