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.
Housing costs are a growing worry, BMO index finds
New funds hold several big names found in broad U.S. stock indexes
Effective communication, whether digital or in person, remains key to strong client/advisor relationships
Several major initiatives could launch this year
Realizing the person you want to take over your practice isn't qualified can be a dramatic moment. How should you handle it?
Fund managers will receive money over the next five years to make social finance investments
Clients now get protection for at least 90% of their death benefits, seg fund guarantees and other coverages if their life insurer fails