Overview
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.
While major retailers like Amazon may carry Protecting Your Practice, we specialize in bulk book sales and offer personalized service from our friendly, book-smart team based in Portland, Oregon. We’re proud to offer a Price Match Guarantee and a streamlined ordering experience from people who truly care.
We’re trusted by over 75,000 customers, many of whom return time and again. Want proof? Just check out our 25,000+ customer reviews—real feedback from people who love how we do business.
Prefer to talk to a real person? Our Book Specialists are here Monday–Friday, 8 a.m. to 5 p.m. PST and ready to help with your bulk order of Protecting Your Practice.