Conference Speakers for the Securities Industry
There is little worse than a customer relationship gone sour to the point where legal proceedings are initiated. What follows are a person’s and firm’s tarnished image, expensive legal representation, sleepless nights and, more than not, the loss of a good friend.
So much of that can be avoided.
Our presentations for the sales staff, especially those who are experienced and with good production, include "Doing the Right Thing as a Financial Advisor: It's a Jungle Out There." We get the audience involved in three too-often-seen areas of woe with the group learning how to avoid them. Included are:
Keeping an unhappy customer as your client and not a trial lawyer's client.
So if the "Suitability Rule" is so simple, why is everyone getting sued over it?
Of course, you could not possibly be involved in "Selling Away." Yeah Right!
Our regulatory experience also allows for valuable presentations for Compliance Department personnel. We give real world information of how the regulatory process really works, not how you think that it works, how to get a handle on what's serious and what's not, and swinging into action at the appropriate point lest the whole regulatory thing gets away from you. We pass on to you tactics so you are not the one to say "I never thought that it would go so far."
The St. Croix Group staff’s rich industry experience can provide effective speakers for your next staff or managers’ conference. We can help you navigate around the readily avoidable pitfalls. Productivity and compliance issues do not have to be at odds with one another.
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The St. Croix Group LLC
6909 South Holly Circle, Suite 135
Centennial, CO 80112
720.529.0294 - frank@thestcroixgroup.com