"Katherine Vessenes has written a lively, informative guide thatunderscores the most important element of successful financialplanning: When you keep your clients happy, you keep your clients. Whether you've been a financial planner for years or are new to theprofession, you'll find Protecting Your Practice anessential addition to your professional library.„
--Thomas W. Johnson
Executive Editor, Financial Planning
“There's no part of being a financial adviser that's lessunderstood, or more troubling, than the legalities of registeringwith the SEC and client relations. Protecting Your Practiceoffers that rare kind of technical writing that combines a voiceof authority and knowledge that comes from years of dealingwith these issues, with an unmistakable understanding of howreaders feel about the situations they face. It makes thechallenge of being a financial adviser easier.„
--Robert Clark
Editor in Chief, Investment Advisor
“Not only did I enjoy reading this book, it was enlightening aswell. This is the most definitive guide on the subject ofprotecting your practice. If you do not read it, you do so at yourown peril!"
--Stewart H. Welch, III, CFP, ChFC, AEP
The Welch Group

Protecting Your Practice

von Katherine Vessenes

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.

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Protecting Your Practice

Protecting Your Practice

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