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Protecting Your Practice

ISBN: 978-1-57660-053-5
Hardcover
512 pages
October 1997
List Price: US $63.50
Government Price: US $32.38
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Protecting Your Practice (157660053X) cover image
This is a Print-on-Demand title. It will be printed specifically to fill your order. Please allow an additional 10-15 days delivery time. The book is not returnable.

Introduction.

Knowing the Alphabet.

Section One: Defining Who's Who.

A review of what you are legally entitled or required to call yourself.

Chapter 1: The Financial Planner.

Who is and is not liable.

Chapter 2: The Investment Adviser.

Who must register and with whom.

Chapter 3: The Fiduciary.

You have a higher standard of care.

Chapter 4: Other Financial Professionals.

Legal rules may also cover you.

Section Two: Playing by the Rules.

A review of the laws and regulations that apply to your practice.

Chapter 5: The Competency Factor.

How to prove you are world-class.

Chapter 6: Insurance Regulations.

Required disclosures build trust.

Chapter 7: Broker-Dealer Regulations.

Key rules affecting your practice.

Chapter 8: Investment Adviser Regulations.

How to use them to your advantage.

Chapter 9: Other Laws.

Communications in various media.

Section Three: Going on the Offense.

How to keep clients happy and why you should build a paper trail.

Chapter 10: Product and Service Providers.

How to find and select the best.

Chapter 11: The First Client Meeting.

Identify expectations at the start.

Chapter 12: Subsequent Client Meetings.

How to satisfy expectations.

Chapter 13: The Importance of Feedback.

Two-way communications are key.

Chapter 14: The Unhappy Client.

How to identify and defuse them.

Section Four: Building a Good Defense.

How to avoid lawsuits and survive an audit.

Chapter 15: When Clients Sue.

Take a malpractice risk test now.

Chapter 16: Common Complaints.

A suitability and disclosure review.

Chapter 17: Errors and Omissions Coverage.

Carrier and other considerations.

Chapter 18: Mediation.

A less-expensive alternative.

Chapter 19: Arbitration.

It has plusses and minuses.

Chapter 20: SEC and State Audits.

How to prepare for and pass them.

Resources.

A: Regulators and Associations.

B: Sample State Investment Adviser Requirements.

Appendices.

A: Codes of Ethics.

B: Documents and Sample Forms.

Notes.

Permissions Credits.

Index.

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