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AIB - REFERRING MUTUAL FUNDS AND SECURITIES CUSTOMERS
Delivery Methods: This
course is available in the following formats:
·
ABA eLearning Self Paced course
Price: $95 members; $130 non-members ENROLL NOW
·
Handbook and
Trainer's Guide -
Tools for in-house training
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:
·
Explain the
history of securities products in banking
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Identify key
regulations and guidelines banks must follow when selling security products
·
Identify
benefits and risks associated with security products
·
Describe the
basic features of common securities products
·
Recognize
clues and gather information to support a referral
·
Use the
H.E.L.P. tool to make effective, professional referrals
·
Address
common client concerns about following through on a referral
·
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 - 0.25
For further information, please call Elisa Legg at 212-297-1679 or elegg@nyba.com.
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