Protecting Your Practice - Couverture rigide

Vessenes, Katherine

 
9781576600535: Protecting Your Practice
Couverture rigide
ISBN 10 : 157660053X ISBN 13 : 9781576600535
Editeur : Bloomberg Press, 1997

Synopsis

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.

Les informations fournies dans la section « Synopsis » peuvent faire référence à une autre édition de ce titre.

À propos de l?auteur

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.

Les informations fournies dans la section « A propos du livre » peuvent faire référence à une autre édition de ce titre.

Éditeur
Bloomberg Press
Date d'édition
1997
Langue
anglais
ISBN 10 
157660053X
ISBN 13 
9781576600535
Reliure
Relié
Nombre de pages
512
Coordonnées du fabricant
non disponible
Personne responsable
non disponible