Protecting Your Practice
Author: Katherine Vessenes and International Association for Financial Planning Series: Bloomberg Financial
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.
Hardcover
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Summary
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.
Description
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.
Critic Reviews
"Katherine Vessenes has written a lively, informative guide that underscores the most important element of successful financial planning: When you keep your clients happy, you keep your clients. Whether you've been a financial planner for years or are new to the profession, you'll find Protecting Your Practice an essential addition to your professional library." ?Thomas W. Johnson Executive Editor, Financial Planning "There's no part of being a financial adviser that's less understood, or more troubling, than the legalities of registering with the SEC and client relations. Protecting Your Practice offers that rare kind of technical writing that combines a voice of authority and knowledge that comes from years of dealing with these issues, with an unmistakable understanding of how readers feel about the situations they face. It makes the challenge of being a financial adviser easier." ?Robert Clark Editor in Chief, Investment Advisor
"Not only did I enjoy reading this book, it was enlightening as well. This is the most definitive guide on the subject of protecting your practice. If you do not read it, you do so at your own peril!" ?Stewart H. Welch, III, CFP, ChFC, AEP The Welch Group
About the Author
Katherine Vessenes, JD, CFP, is America's best-known authority on legal, compliance, and ethics issues for financial advisers. She is president of Vestment Consulting, and lives in the Minneapolis area.
A key resource for financial advisers from a leading authority on legal, compliance, and ethics issues, Katherine Vessenes's book shows how to build client relationships, grow a practice, comply with regulations, streamline a business, and avoid lawsuits in today's competitive and adversarial environment. This lively guide to compliance includes case studies, forms and checklists, and practical strategies.
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