Through your membership you will have access to boiler plate documents to protect your practice. News updates and industry specific knowledge bases, client management systems and access to dozens of techniques and practices to mitigate the possibility of litigious action through the FA Risk e-Defense Manager.
As part of your membership you have access to over 50 FINRA produced e-learning courses now available to eMitigation and eMitigationPLUS and E&O Deductible members. You will also have access to articles and information provided by other industry sources that we think you might find interesting and one of our premiere membership benefits is the ability to track your growth in areas important to your success and risk mitigation with the FA Risk Management Knowledge Tracking Tool and certificates of acknowledgement and proficiency.
Attorneys live and the strength of cases die by documentation. Having the Proper documentation available, recorded, and presentable; may be the difference between going to arbitration and not going. How to store records, what to keep, what to get rid of, what is valuable what is a waste of time, are covered in your training.
FINRA e-learning courses and FA Risk Knowledge Tracking Tool, will prepare you for and train you in how to deal with a complaint as well as keep you from getting one. Mitigating your Risk is the only way to prepare for the inevitable. Knowing what to do, how to respond, when it happens is the difference between living your life or being a victim to it.
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Think It's your B/D or your Insurance Company or Your FMO or your E&O carrier?Pete Borowski
I've got news for you. When the problems come and they will (if you see enough people) You'll quickly learn they will cover their own butts and walk on you. I have been in the business for 30 years and the top 1% of Insurance and Financial Advisors with 20 years of Lifetime Qualification for MDRT. You need to know that a truly knowledgeable caring group of people are in your corner to protect your ASSets! That would be your membership in FARisk. You don't want to be alone in this game!"
30 year veteran of the industry