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A Provider of AIB Products Referring Mutual Funds and Securities Customers |
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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: Bank personnel who manage client relationships and/or who are in a position to identify referral opportunities to licensed specialists. Note: The assumption is made that students in this course are not licensed to sell securities. Learning Objectives: After successfully completing this program, you 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 youra referral • Use the H.E.L.P. tool to make effective, professional referrals • Address common client concerns about following through on ayour referral • Identify the strategic elements for growing the securities business in banking Course Credits: AIB: 0 ; ICB: 0 Prerequisites: None, although knowledge of securities products offered by your bank is helpful Required Software: None Optional Software: Adobe Acrobat Reader and RealPlayer Cost: Members $95 • NonMembers $130  Forms Page ... Registration ... Requests ... WithdrawalPBA Contact: Jackie Catalano • (717) 255-6939 • jCatalano@paBanker.com |
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