Protecting Your Practice

KATHERINE VESSENES’S superb new book will show you how to build client relationships, grow your practice, and avoid lawsuits in today’s increasingly competitive and litigious environment.

Protecting Your Practice provides forms and checklists, case studies, practical strategies, action items, and insights into the critical issues that affect financial services professionals. Katherine Vessenes spells out ways to enhance client relationships, comply with regulations, organize record keeping, and protect your business from malpractice claims.

Written in association with one of the world’s largest and oldest organizations for financial services professionals, Protecting Your Practice is essential information for registered investment advisers, broker-dealers, registered representatives, accountants, tax advisers, insurance agents, wire houses, commission and fee planners, attorneys, trust officers, estate planners, and development officers in planned giving.

“Katherine Vessenes is almost unique in the compliance community with her focus on client relationships and building a practice.”

“A tremendous resource for the serious financial professional.. A valuable tool for establishing preventive measures to help avoid customer complaints and litigation.”

“A great book to help professionals properly position themselves in the marketplace.”

“Must-reading for every financial professional who wants to stay in business.”

“Katherine Vessenes has traveled these roads as a planner and a lawyer. Follow the map and you won’t get lost.”

“There are two types of financial planners: those who read this book and those who are committed to learning the hard and painful way.”

“Well-organized and practical.”

“This book is a practical guide to a subject of paramount importance to registered reps, broker-dealers and managers. Katherine Vessenes has clearly communicated technical compliance information in a format that is easy to apply to your practice. We have ordered a copy for each of our registered reps.”

“The definitive guide on the subject.”

“Katherine Vessenes underscores the most important element of successful financial planning: When you keep your clients happy, you keep your clients. Whether you’ve been a financial planner for years or are new to the profession, you’ll find Protecting Your Practice an essential addition to your professional library.”

“A voice of authority and knowledge that comes from years of dealing with these issues.”

“Katherine Vessenes.. is ahead of the pack in providing clear and concise text, real-life situations, and action items that can be incorporated into the successful planner’s practice… A must-read for serious financial professionals.”

“Protecting Your Practice is a continuation of Katherine Vessenes’s valuable contribution to the financial planning profession. We don’t like to think about it but we must take appropriate steps to ensure the continuation of our practice for our own protection and that of our existing clients. This book tells us how to do it.”

“Its no-nonsense approach.. provides practical solutions for avoiding the various legal and regulatory pitfalls of the financial services industry.”

“An excellent resource for compliance officers, financial planning practitioners, and investment advisers. Katherine Vessenes’s suggestions show how compliance can and should become an integral part of your day-to-day activities – without causing ‘sales prevention.’”

“We require all our representatives to read Katherine’s practical and insightful book. Our group works with high-producing independent agents who need to know specifically what they must do to protect their business. Her marketing ideas on how to grow your business are invaluable. Combined with her legal viewpoint on how to avoid litigation, every detail is worthwhile.”