Investment Advisors
The Training You’ve Been Waiting For Is Now Available
“Know Your Client and Prove It!”

> Do You Have Good Systems in Place Now? Could They Be Better?
> Can You Systemize and Increase Assets?
> Can You Organize and Decrease Liabilities?

Session Description: The training seminar and individual consulting offered is designed specifically for Investment Advisors and their administrative staff. Tools and techniques are based on the concept that if you can increase your assets while decreasing your liabilities, you will build a solid business in the financial services industry and ultimately achieve greater profits. Can be provided as standalone training or combined with one-on-one consulting services.

Key Learnings:

1. Identify when and what you should document
2. Use technology to ensure efficiency
3. Organize your files to ensure documentation is easy to locate
4. Systemize your administrative processes for consistency

Course Outline:

• The Risks – The importance of documenting client communication in order to protect your reputation and credibility.
• Tools for Maintaining Your Professionalism – Developing consistent systems by using checklists, meeting agendas and other tools
• Know Your Client – Completing the KYC form accurately and gathering other important information
• Maintaining Your Credibility – Systems for documenting client conversations and maintaining client files
• Privacy at the Office – Keeping the office organized to protect client privacy and maintain confidentiality
• Compliance as a Key to Maintaining a Profitable Business

Facilitator: Jane Veldhoven, CPO©