Protecting Your Practice

Business & Finance, Finance & Investing, Investments & Securities
Cover of the book Protecting Your Practice by Katherine Vessenes, Wiley
View on Amazon View on AbeBooks View on Kobo View on B.Depository View on eBay View on Walmart
Author: Katherine Vessenes ISBN: 9780470884676
Publisher: Wiley Publication: June 10, 2010
Imprint: Bloomberg Press Language: English
Author: Katherine Vessenes
ISBN: 9780470884676
Publisher: Wiley
Publication: June 10, 2010
Imprint: Bloomberg Press
Language: English

This is the benchmark book for building client relationships, growing a practice, and avoiding litigation--written in association with the world's leading organization for financial services professionals. Audience: Broker-dealers and their home-office personnel, registered reps, accountants, tax advisers, insurance agents and insurance companies, wire houses, fee and commission planners, attorneys, trust officers, estate planners, and development officers in planned-giving departments. As investors gravitate toward no-load mutual funds and do-it-yourself investing through discount brokers, professionals are being squeezed by competition, consumer wariness, and tighter enforcement by the SEC, NASD, and state securities regulators. This book addresses these challenges, helping anyone offering financial advice to be more competitive, build client loyalty, and avoid the liabilites that come with managing someone's money in today's complex investment environment. How to offer better service, comply with key regulations, maintain vital records with a minimum of paperwork, and protect a business from malpractice claims.

View on Amazon View on AbeBooks View on Kobo View on B.Depository View on eBay View on Walmart

This is the benchmark book for building client relationships, growing a practice, and avoiding litigation--written in association with the world's leading organization for financial services professionals. Audience: Broker-dealers and their home-office personnel, registered reps, accountants, tax advisers, insurance agents and insurance companies, wire houses, fee and commission planners, attorneys, trust officers, estate planners, and development officers in planned-giving departments. As investors gravitate toward no-load mutual funds and do-it-yourself investing through discount brokers, professionals are being squeezed by competition, consumer wariness, and tighter enforcement by the SEC, NASD, and state securities regulators. This book addresses these challenges, helping anyone offering financial advice to be more competitive, build client loyalty, and avoid the liabilites that come with managing someone's money in today's complex investment environment. How to offer better service, comply with key regulations, maintain vital records with a minimum of paperwork, and protect a business from malpractice claims.

More books from Wiley

Cover of the book Successful Drug Discovery by Katherine Vessenes
Cover of the book NMR Data Interpretation Explained by Katherine Vessenes
Cover of the book Fraud Risk Assessment by Katherine Vessenes
Cover of the book Equitable Resource Allocation by Katherine Vessenes
Cover of the book Channel Equalization for Wireless Communications by Katherine Vessenes
Cover of the book Nanostructured Materials and Nanotechnology VII by Katherine Vessenes
Cover of the book A Companion to Medical Anthropology by Katherine Vessenes
Cover of the book Sustainable Renovation by Katherine Vessenes
Cover of the book Explorations of Mathematical Models in Biology with Maple by Katherine Vessenes
Cover of the book Power Electronics and Energy Conversion Systems, Fundamentals and Hard-switching Converters by Katherine Vessenes
Cover of the book Persuasion by Katherine Vessenes
Cover of the book Business Gamification For Dummies by Katherine Vessenes
Cover of the book Construction Contracting by Katherine Vessenes
Cover of the book Cognitive Behavioral Therapy for Dental Phobia and Anxiety by Katherine Vessenes
Cover of the book Essential Algorithms by Katherine Vessenes
We use our own "cookies" and third party cookies to improve services and to see statistical information. By using this website, you agree to our Privacy Policy