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Overview

Katherine Vessenes's superb new book will show you how to build client relationships, grow your practice, and avoid lawsuits in today's increasingly competitive and litigious environment. Protecting Your Practice provides forms and checklists, case studies, practical strategies, action items, and insights into the critical issues that affect financial services professionals. Katherine Vessenes spells out ways to enhance client relationships, comply with regulations, organize record keeping, and protect your ...
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Protecting Your Practice

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Overview

Katherine Vessenes's superb new book will show you how to build client relationships, grow your practice, and avoid lawsuits in today's increasingly competitive and litigious environment. Protecting Your Practice provides forms and checklists, case studies, practical strategies, action items, and insights into the critical issues that affect financial services professionals. Katherine Vessenes spells out ways to enhance client relationships, comply with regulations, organize record keeping, and protect your business from malpractice claims.

A key resource for financial advisors from a leading authority on legal, compliance, and ethics issues, PROTECTING YOUR PRACTICE shows how to build client relationships, grow a practice, and avoid lawsuits in an environment that's become increasingly competitive and adversarial. Includes forms and checklists.

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Editorial Reviews

Thomas W. Johnson
A lively, informative guide...an essential addition to your professional library.

— Executive Editor, Financial Planning Magazine

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Product Details

  • ISBN-13: 9780470884676
  • Publisher: Wiley
  • Publication date: 6/10/2010
  • Series: Bloomberg Financial , #17
  • Sold by: Barnes & Noble
  • Format: eBook
  • Edition number: 1
  • Pages: 512
  • File size: 3 MB

Meet 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.

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Table of Contents

Introduction 1
Knowing the Alphabet 6
Sect. 1 Defining Who's Who 14
Ch. 1 The Financial Planner 16
Ch. 2 The Investment Adviser 30
Ch. 3 The Fiduciary 54
Ch. 4 Other Financial Professionals 68
Sect. 2 Playing by the Rules 76
Ch. 5 The Competency Factor 78
Ch. 6 Insurance Regulations 90
Ch. 7 Broker-Dealer Regulations 104
Ch. 8 Investment Adviser Regulations 116
Ch. 9 Other Laws 134
Sect. 3 Going on the Offense 156
Ch. 10 Product and Service Providers 158
Ch. 11 The First Client Meeting 168
Ch. 12 Subsequent Client Meetings 190
Ch. 13 The Importance of Feedback 208
Ch. 14 The Unhappy Client 226
Sect. 4 Building a Good Defense 242
Ch. 15 When Clients Sue 244
Ch. 16 Common Complaints 268
Ch. 17 Errors and Omissions Coverage 284
Ch. 18 Mediation 294
Ch. 19 Arbitration 302
Ch. 20 SEC and State Audits 320
Resources 338
A Regulations and Associations
B Sample State Investment Adviser Requirements
App. A Codes of Ethics 356
App. B Documents and Sample Forms 356
Notes 452
Permissions Credits 472
Index 476
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