- Friday Feb 22, 2019
- Start Time: 11:30AM
- End Time: 1:00PM
- Austin Country Club
February Lunch Meeting
Friday, February 22, 2019
11:30 – 1:00 pm
Austin Country Club
Topic: Senior Financial Exploitation Laws: Federal and State – Compliance for 2019 Presentation
Neala Moore, Sapphire Compliance Management LLC
- Realities of an aging population
- Discussion of the laws, rules and regulations applicable to the financial services industry
- Identifying and protecting vulnerable clients
- Practical steps to prevent and detect financial exploitation
- Common Financial Exploitation Scams
- Best Practices, Policies and Procedures
- Regulatory Expectations
Neala Moore is a licensed attorney with over 15 years’ experience in the financial services industry. Her experience spans both the front office and back at both small and large firms.
She began her career in the financial services industry in the operations department of the boutique investment firm in Birmingham, Michigan. Upon arriving in San Antonio, Texas in 2003, she moved from the back office to the front when she became a financial adviser with UBS Financial Services, Inc. As a financial adviser, Neala worked with individuals, high net worth individuals, trusts, businesses and charitable organizations. Her background as an attorney was particularly beneficial to her clients in developing investment strategies in coordination with the client’s attorneys, accountants, and third-party administrators.
With a desire to put her legal skills to greater use in the financial services arena, she became the Director of Operations and Chief Compliance Officer for Matterhorn Capital Management, LLC. Neala developed their operations and compliance programs. The call to spread her entrepreneurial wings came in January 2012. With the encouragement and support of her former employer, she began Sapphire Compliance Management, LLC. Sapphire Compliance Management, LLC provides compliance consulting services to small and mid-size SEC and state registered investment advisers, as well as, small broker-dealers.
Ms. Moore obtained her Bachelor of Arts from the University of Chicago before receiving her law degree from Wayne State University in Detroit, Michigan.
Continuing Education: 1 CE pending approval
Registration Fees: NEW FOR 2019
- Free – Austin FPA CFP Professionals and Allied Members and 2019 Partners, but you must make a reservation for the lunch meeting.
- $60 – Non-Members
- $40 – FPA Members who are CFP Candidates, Faculty, CFP Certificant Students, Transfers from other chapters
- $20 – FPA Members who are Member Emeritus (Retired) or Full-time Students
- If you do not receive an email confirmation when you register please contact Sarah at email@example.com.
- FPA is committed to pay for every reservation made. If you cannot keep your commitment, please email firstname.lastname@example.org to cancel by Thursday, February 18th. No-shows will be billed $50.