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Vessenes Katherine. Protecting Your Practice
Acknowledgments
INTRODUCTION
KNOWING THE ALPHABET
SECTION ONE. DEFINING WHO’S WHO
CHAPTER 1. THE FINANCIAL PLANNER
CHAPTER 2. THE INVESTMENT ADVISER
CHAPTER 3. THE FIDUCIARY
CHAPTER 4. OTHER FINANCIAL PROFESSIONALS
SECTION TWO. PLAYING BY THE RULES
CHAPTER 5. THE COMPETENCY FACTOR
CHAPTER 6. INSURANCE REGULATIONS
CHAPTER 7. BROKER-DEALER REGULATIONS
CHAPTER 8. INVESTMENT ADVISER REGULATIONS
CHAPTER 9. OTHER LAWS
SECTION THREE. GOING ON THE OFFENSE
CHAPTER 10. PRODUCT AND SERVICE PROVIDERS
CHAPTER 11. THE FIRST CLIENT MEETING
CHAPTER 12. SUBSEQUENT CLIENT MEETINGS
CHAPTER 13. THE IMPORTANCE OF FEEDBACK
CHAPTER 14. THE UNHAPPY CLIENT
SECTION FOUR. BUILDING A GOOD DEFENSE
CHAPTER 15. WHEN CLIENTS
CHAPTER 16. COMMON COMPLAINTS
CHAPTER17. ERRORS AND OMISSIONS COVERAGE
CHAPTER 18. MEDIATION
CHAPTER 19. ARBITRATION
CHAPTER 20. SEC AND STATE AUDITS
RESOURCE A
RESOURCE B
APPENDIX A. CODES OF ETHICS
APPENDIX B. DOCUMENTS AND SAMPLE FORMS
PERMISSIONS CREDITS
About Bloomberg
Отрывок из книги
“Katherine Vessenes is almost unique in the compliance community with her focus on client relationships and building a practice.”
“A tremendous resource for the serious financial professional.. A valuable tool for establishing preventive measures to help avoid customer complaints and litigation.”
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“An excellent resource for compliance officers, financial planning practitioners, and investment advisers. Katherine Vessenes’s suggestions show how compliance can and should become an integral part of your day-to-day activities – without causing ‘sales prevention.’”
“We require all our representatives to read Katherine’s practical and insightful book. Our group works with high-producing independent agents who need to know specifically what they must do to protect their business. Her marketing ideas on how to grow your business are invaluable. Combined with her legal viewpoint on how to avoid litigation, every detail is worthwhile.”
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