Referring Mutual Funds and Securities Customers
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.
| Price | $130 Nonmembers / $95 Members |
| Course Credits | AIB: 0.25 ; 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 |
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 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 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
Enrollment: To enroll in this course, please click on the link below for the registration form. Print and complete the form and submit it to your supervisor for approval. Then submit the approved form to your human resources department for processing.