For Compliance Officers
If your company offers products or services suitable for seniors, it’s important that your personnel be aware of the special challenges that arise when working with aging clients. By taking into account the health, financial and social issues that shape seniors’ lives, a professional can better help a senior make choices that align with the senior’s best interests.
As a compliance officer, you’re comfortable in a regulatory environment. You’re familiar with the rules particular to your industry—their clarity, their effectiveness, and how they’re enforced. In light of this, SCSA is confident that you would endorse the compliance mechanisms we have in place at SCSA. Our CSA Code of Professional Responsibility not only obligates a CSA to follow high ethical standards, but it provides concrete rules for compliant advertising on the part of our members.
SCSA endorses, supports and assists state & federal regulators to ensure that Certified Senior Advisors strictly follow industry-specific rules and live up to the CSA Code of Professional Responsibility as well.
SCSA and the Board of Standards greatly value the oversight provided by regulatory agencies. The CSA Board of Standards, an independent, non-profit organization, reviews complaints lodged against CSAs for alleged violations of the CSA Code. Because the Code requires CSA disclosure of regulatory events, Board cases have been filed, and designations revoked, on the basis of existing actions by regulatory bodies.
Please click “Disciplinary Actions” at left to view Board revocations from 2006 to present. To request information on CSA Board revocations prior to 2006, or to request names of former CSAs who are ineligible to renew their designations based on enforcement actions published by state or federal agencies, contact the SCSA Compliance officer, Glen Hast, at 1-888-294-9397 or .
If you have a question about a specific CSA or someone purporting to be a CSA, please call. You’ll have our full cooperation.
We have distilled important information about SCSA, its curriculum, its designation and its CSA designees in a comprehensive question-and-answer document HERE. If we have missed a question you have, please call us at 800-653-1785. We invite regulators to audit our class, which is the culmination of the CSA designation training. Call for more information.