Home Inside Track Ellen Bessner

Latest news in Ellen Bessner

Dispute at desk

Do your notes pass the sniff test?

Here are three steps to prove suitability

A perfect storm lies ahead for advisors and dealers

Mitigate your risk amid potential enforcement delays, CFR audits

open door business

Thinking of leaving your dealer? Here’s what to consider

Protect your business, reputation and clients by knowing your rights and obligations

Compliance Legal Rule Compliancy Conformity Concept

Key legal and regulatory issues to heed

Follow these tips to protect your licence and reputation

online comments

Pass compliance audits and win credibility with the 5Cs

Protect yourself by creating a robust client communication trail

old way, new way

More tough love for advisors

No matter where you are in your career, compliance requirements are a must

Set your client-advisor relationships up for success

Teach clients to meet you halfway — here’s how

advisor client meeting

Questions to assess the best kept secret about KYC

Advisors must show that clients understood an investment and its risks

man opening curtain to reveal something

Best kept secret about KYC

Advisors ignore this important know-your-client item to their detriment

young woman with question mark on a gray background

Big fat questions to get clients talking

Fulfil your KYC obligations without infringing on client privacy

metal scales of justice in court room

Getting out of Dodge is not the answer

Advisors who leave the industry to avoid investigations and hearings suffer more severe penalties

Blueberry-topped cake

Serving fewer clients can lead to a big payoff

Focus on a target market and meet your regulatory obligations

business growth

Grow your business using the CFRs

Stressed about the client-focused reforms? Try this different approach

client meeting

“But that’s what the client wanted”

Don’t fall for clients’ demands for unsuitable investments

man working on laptop

Regulatory settlement? Inform yourself!

Understand how a settlement can unexpectedly affect you

divorce and the law

Why care about changes to regulations?

Three questions to ask to protect yourself and your business

compliance

How to avoid becoming an enforcement statistic

Regulators measure their success based in part on how many enforcement matters they open and prosecute

Lady overwhelmed by debt, tax, tax forms

You can’t be a walking rulebook

A step-by-step guide to navigating the mountain of rules you must follow to protect your licence, reputation and livelihood 

man using mobile phone

Don’t let client preferences come before your legal obligations

Clients may prefer communicating by text, but texting clients comes with risks

Video: Think small to feel better

Ellen Bessner returns with one last Positive Note for 2020

Businesswoman umbrella orange arrow insurance

Should you be penalized for being prudent with clients’ portfolios?

Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance

businesswoman thinking

An ounce of prevention is worth a pound of cure

Now is the time to update your clients’ KYC and think about their risk capacity

Ellen Bessner video conferencing

Perch me on your shoulder

How to avoid the most common legal and regulatory infractions

Babin Bessner Spry

Build client trust through each team member

Your team is crucial to building client trust during this pandemic and beyond

business woman

How to build client trust during the pandemic and beyond

This pandemic is an opportunity to build trust by showing clients your value