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AIB - REFERRING MUTUAL FUNDS AND
SECURITIES CUSTOMERS
Course Description:
Referring Mutual Funds and Securities Customers teaches
students a professional and effective process for referring clients to a
licensed securities specialist. After an overview of securities products
commonly offered by banks, students will learn how to use a variety of
clues to identify a clients' recognized and unrecognized financial
needs, and how to gather information that a licensed investment
specialist will find helpful as they work with a referred client.
Students will also learn how to use the H.E.L.P. tool to make effective
and professional referrals.
Audience:
Retail bank personnel who manage customer relationships
and/or who are in a position to identify referral opportunities; e.g.,
personal bankers and new accounts staff.
Note: The assumption is made that students in this
course are not licensed to sell securities.
Learning Objectives:
After completing this course, students will be able to:
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Explain the history of securities products in banking
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Identify key regulations and guidelines banks must
follow when selling security products
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Identify benefits and risks associated with security
products
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Describe the basic features of common securities
products
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Recognize clues and gather information to support a
referral
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Use the H.E.L.P. tool to make effective, professional
referrals
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Address common client concerns about following through
on a referral
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Identify the strategic elements for growing the
securities business in banking
Prerequisites:
None, although knowledge of securities products offered by your bank
is helpful.
Course Credits: AIB credits
- 0.5;
CEU Credits - 0.5
Delivery Methods:
This course is available in the following formats:
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