Advising Customers in a Highly Regulated Environment WorkshopTopics

Module One - Threats and Opportunities

  1. Gaining perspective on the current financial and regulatory environment
  2. Banker and customer expectations for the next phase of the market cycle
  3. Customers’ perceptions of the risk/return characteristics of today’s wealth solutions

Module Two - The Regulatory Challenge

  1. Understanding how the new global regulatory framework will affect customer financial relationships
  2. Assessing the "real world" challenges associated with developing customer relationships
  3. Questioning techniques and methods to gain customers’ confidence and trust throughout the “KYC” process
  4. The communication and documentation challenge

Module Three – Advising Customers

  1. The importance and advantages of clarifying and managing customer expectations
  2. Engagement techniques that will compel customers to disclose their expectations
  3. Assessing customers’ level of satisfaction
  4. Positioning, recommending, and overcoming customer obstacles to new product/portfolio solutions

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