Referring Mutual Funds and Securities Customers

 

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

·         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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