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Book Categories |
| Introduction | 1 | |
| Knowing the Alphabet | 6 | |
| Sect. 1 | Defining Who's Who | 14 |
| Ch. 1 | The Financial Planner | 16 |
| Ch. 2 | The Investment Adviser | 30 |
| Ch. 3 | The Fiduciary | 54 |
| Ch. 4 | Other Financial Professionals | 68 |
| Sect. 2 | Playing by the Rules | 76 |
| Ch. 5 | The Competency Factor | 78 |
| Ch. 6 | Insurance Regulations | 90 |
| Ch. 7 | Broker-Dealer Regulations | 104 |
| Ch. 8 | Investment Adviser Regulations | 116 |
| Ch. 9 | Other Laws | 134 |
| Sect. 3 | Going on the Offense | 156 |
| Ch. 10 | Product and Service Providers | 158 |
| Ch. 11 | The First Client Meeting | 168 |
| Ch. 12 | Subsequent Client Meetings | 190 |
| Ch. 13 | The Importance of Feedback | 208 |
| Ch. 14 | The Unhappy Client | 226 |
| Sect. 4 | Building a Good Defense | 242 |
| Ch. 15 | When Clients Sue | 244 |
| Ch. 16 | Common Complaints | 268 |
| Ch. 17 | Errors and Omissions Coverage | 284 |
| Ch. 18 | Mediation | 294 |
| Ch. 19 | Arbitration | 302 |
| Ch. 20 | SEC and State Audits | 320 |
| Resources | 338 | |
| A | Regulations and Associations | |
| B | Sample State Investment Adviser Requirements | |
| App. A | Codes of Ethics | 356 |
| App. B | Documents and Sample Forms | 356 |
| Notes | 452 | |
| Permissions Credits | 472 | |
| Index | 476 |
| Price | Condition | Delivery | Seller | Action |
| $99.99 | Digital |
| WonderClub |
Rafael Rojas
reviewed Protecting Your Practice on January 26, 2017
Protecting Your Practice
I purchased the original book in 2008 just when I was entering this field of work.
This 'revised' edition has very little to add to the original book, but is still a very good compilation.
There are some heroes of old and some who still hold their sway post the 2008/09 mayhem. A must read for people who like understanding the motivations of HF managers and an insight into their personalities.
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