Protecting Your Practice (Hardcover)

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.

General

Imprint:	Bloomberg Press
Country of origin:	United States
Release date:	October 1997
First published:	October 1997
Authors:	K Vessenes
Dimensions:	228 x 147 x 37mm (L x W x T)
Format:	Hardcover
Pages:	512
ISBN-13:	978-1-57660-053-5
Categories:	Books > Business & Economics > Business & management > Business strategy Books > Business & Economics > Economics > Labour economics > General Books > Business & Economics > Finance & accounting > Finance > General Books > Business & Economics > Business & management > Ownership & organization of enterprises > General Books > Money & Finance > General Promotions
LSN:	1-57660-053-X
Barcode:	9781576600535

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