Financial Advisor Resources

IRI Fact Sheet for Advisors: Signs of Diminished Capacity

A tip sheet for financial advisors from the Insured Retirement Institute developed from a report by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, North American Securities Administrators Association, and Financial Industry Regulatory Authority.

When working with older clients, learn what signs and red flags to look for that could indicate that the client has diminished capacity.    

IRI Fact Sheet for Advisors: Signs of Financial Elder Abuse

A tip sheet for financial advisors from the Insured Retirement Institute developed from a report by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, North American Securities Administrators Association, and Financial Industry Regulatory Authority. 

When working with older clients, learn what signs and red flags to look for that could indicate that the client is a victim of financial elder abuse.     

Retirement Income Planning and the Elder Market

A research report by the Insured Retirement Institute. 

This exclusive research report from the Insured Retirement Institute explores the challenges advisors face in conveying pertinent information to older clients, a market segment that is growing in both number and net worth. The report also found that social and family issues take on a greater importance for older investors, often including a variety of aspects related to lifestyle changes in retirement and the participation of family members and others in the decision-making process.  

Annuities as a Tool in Financial Management Assistance for Individuals with Cognitive Impairment

A FINRA-reviewed resource by the Insured Retirement Institute, based on an article that appeared in the August 2012 edition of the IRI Insight. 

This article discusses the challenges of cognitive impairment and diminished capacity, and their impact on retirement planning. It also discusses how annuities can be a tool in helping individuals manage their finances in retirement. 

Diminished Capacity: What Every Financial Services Professional Should Know

A tip sheet for financial advisors from the National Adult Protective Services Association (NAPSA) and posted on the SEC website. 

Did you know that 80 percent of perpetrators of elder abuse are family members or someone in a relationship with the victim? This sheet outlines the facts all financial professionals should know about diminished capacity and financial exploitation.