Home In Depth Special Reports Keeping your practice compliant

Keeping your practice compliant

In this eight-part video series, Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, share their insights with advisors on powers of attorney, KYC obligations, unhappy clients, and much more.

August 2, 2016

A compliance perspective on Skype and FaceTime

In part eight of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss the know your client (KYC) implications of using Skype and FaceTime to meet with clients.

  • August 2, 2016 October 15, 2019
  • 05:30

Three tips when buying a book of business

In part seven of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss the top three tips you need to consider when buying a book of business.

  • July 25, 2016 October 15, 2019
  • 05:30

The document you need on file for every client

In part six of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss why you need a power of attorney document from every client, and give tips on when and how to broach this issue in a positive way.

  • July 18, 2016 October 15, 2019
  • 05:30

How to respond to unhappy clients

In part five of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss advisors’ liability in dealing with client complaints, and explain the processes you should know to ensure your response helps your client and protects you from possible lawsuits.

  • July 11, 2016 October 15, 2019
  • 05:30

Why retired advisors can be sued

In part four of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss why advisors can be sued in retirement, and explain steps you need to take to ensure you are not at risk.

  • July 1, 2016 October 15, 2019
  • 13:00

The importance of meeting face to face

In part three of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, explain why face-to-face meetings are essential to advisors’ know-your-client obligations.

  • June 27, 2016 October 15, 2019
  • 05:30

Power of attorney: What advisors need to know

In part two of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss what to do when clients’ adult children have power of attorney.

  • June 20, 2016 October 15, 2019
  • 05:15

Three things to consider when selling your book

In part one of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss three key issues advisors need to consider when selling their book.

  • June 13, 2016 October 15, 2019
  • 04:00