Referring Investment Clients


SKU: 7eabe3a1649f Category:


This course provides an overview of securities products commonly offered by banks and explains how to detect clues to identify the clients’ recognized and unrecognized financial needs. This course explores the effective referral model to help clients see the value in referral suggestions and in meeting with an investment specialist.

After completing this course, students will be able to:
• Identify key regulations and guidelines banks must follow when offering investment products
• Identify benefits and risks associated with investment products
• Describe the basic features of common investment products
• Recognize clues and gather information to support and enhance a referral
• Use the Effective Referral Model to make needs-based, professional referrals
• Address common client concerns about following through on a referral

Code: A1103SP
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