How to tackle the salesman at your door
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A decade ago, for most middle-class individuals, personal finance decisions
were relatively simpler as their investment options were limited to postal
saving schemes and fixed deposits.

With incomes rising, investment choices have grown and with choice comes
complexity. In the world of structured products with core complex
strategies, financial intermediaries have come to play a big role.

With the financial services industry moving to the 'commission-based'
distribution model, most individuals are likely to come across an 'agent'
who tries to sell a product.

Here are some tips on how to deal with them:
Ask stupid questions
There is nothing wrong or inappropriate in asking questions that sound
stupid. After all, it is your money. If you do not understand a product, ask
for details. Instead of presuming things, seek clarifications.

Most products come with benefit illustrations. Sift through them for better
understanding, along with what is on offer from the competition. The agent
should be helping you out in understanding these.

No obligation business

When you shop for clothes, a television set or even a car, you may choose to
window-shop or even visit some showrooms or malls.

You may try out clothes and walk out without buying any. There is no
obligation on you to buy one. Investments are no different. You are not
obliged to buy a loan, life insurance policy or a mutual fund even if you
make extensive inquiries.

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Performance
The performance of the financial intermediary should be analysed using two
parameters. First, what is the level of deliverables?

For instance, the services of two stock brokers will be different: One may
offer you 'online trading' involving e-funds transfer and digital contract
notes with no human interface and another may offer you human interface and
contract notes on 'paper'. Of course, the costs associated also differ.

Second factor will be your needs. A stock broker that offers an excellent
online trading platform for buying foreign securities will be of no use to
an individual who restricts his investments to domestic equities. You will
be better off if you keep these factors in mind while signing an
intermediary and dealing with it.
Ask about his income
Ask the intermediaries how they are compensated. There is nothing wrong
about it. Most professional bodies and regulators have made it mandatory to
disclose the compensation received by the intermediaries.

Do not choose or avoid a product because the intermediary is making more or
less money out of it. Rather, knowing about the commissions may help you
understand the 'sales pitch'.

Offer the advisors to give you an advice for a 'fee' than buying any product
from them. The advice may not remain the same, if you tell the intermediary
that you are not going to buy anything from him.

Grievances

Grievances need to be heard. Most good financial service providers provide
you with details of the authorities to contact if you have a grievance.
Instead of fighting with the 'call centre' executive or 'helplines', write
to the 'nodal authorities' appointed by the service providers before
approaching regulators for redressal.

Do things yourselves
With the advent of technology, it is easy to buy financial products directly
from companies. This saves time and cost, after you break the initial wall
of 'system issues'.

Forms are no more difficult as they used to be and an attempt to fill it on
your own will prove this. Still, if you want hand-holding, go for an advice
for fee from an expert and hand over the 'execution' to a 'distributor'.

Do not pay the expert advisors for execution as incremental costs here are
generally higher than what is charged by an average distributor in the form
of 'commission'.

But you do have the choice of getting everything done by one person if that
gives you peace of mind.
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