Ellen Bessner – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 08 Apr 2024 19:35:33 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Ellen Bessner – Investment Executive https://www.investmentexecutive.com 32 32 Do your notes pass the sniff test? https://www.investmentexecutive.com/inside-track_/ellen-bessner/do-your-notes-pass-the-sniff-test/ Mon, 08 Apr 2024 19:35:33 +0000 https://www.investmentexecutive.com/?p=483363 Here are three steps to prove suitability

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]]> A perfect storm lies ahead for advisors and dealers https://www.investmentexecutive.com/inside-track_/ellen-bessner/a-perfect-storm-lies-ahead-for-advisors-and-dealers/ Mon, 20 Nov 2023 20:00:22 +0000 https://www.investmentexecutive.com/?p=475621 Mitigate your risk amid potential enforcement delays, CFR audits

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]]> Thinking of leaving your dealer? Here’s what to consider https://www.investmentexecutive.com/inside-track_/ellen-bessner/thinking-of-leaving-your-dealer-heres-what-to-consider/ Wed, 19 Jul 2023 19:00:37 +0000 https://www.investmentexecutive.com/?p=468907 Protect your business, reputation and clients by knowing your rights and obligations

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]]> Key legal and regulatory issues to heed https://www.investmentexecutive.com/inside-track_/ellen-bessner/key-legal-and-regulatory-issues-to-heed/ Wed, 31 May 2023 19:00:00 +0000 https://www.investmentexecutive.com/?p=466492 Follow these tips to protect your licence and reputation

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]]> Pass compliance audits and win credibility with the 5Cs https://www.investmentexecutive.com/inside-track_/ellen-bessner/pass-compliance-audits-and-win-credibility-with-the-5cs/ Mon, 13 Mar 2023 19:35:00 +0000 https://www.investmentexecutive.com/?p=462130 Protect yourself by creating a robust client communication trail

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]]> More tough love for advisors https://www.investmentexecutive.com/inside-track_/ellen-bessner/more-tough-love-for-advisors/ Wed, 01 Feb 2023 20:00:22 +0000 https://www.investmentexecutive.com/?p=459562 No matter where you are in your career, compliance requirements are a must

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]]> Set your client-advisor relationships up for success https://www.investmentexecutive.com/inside-track_/ellen-bessner/set-your-client-advisor-relationships-up-for-success/ Mon, 14 Nov 2022 20:00:29 +0000 https://www.investmentexecutive.com/?p=455517 Teach clients to meet you halfway — here’s how

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]]> Questions to assess the best kept secret about KYC https://www.investmentexecutive.com/inside-track_/ellen-bessner/questions-to-assess-the-best-kept-secret-about-kyc/ Tue, 18 Oct 2022 19:00:36 +0000 https://www.investmentexecutive.com/?p=453690 Advisors must show that clients understood an investment and its risks

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]]> Best kept secret about KYC https://www.investmentexecutive.com/inside-track_/ellen-bessner/best-kept-secret-about-kyc/ Mon, 25 Jul 2022 19:00:01 +0000 https://www.investmentexecutive.com/?p=448261 Advisors ignore this important know-your-client item to their detriment

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]]> Big fat questions to get clients talking https://www.investmentexecutive.com/inside-track_/ellen-bessner/big-fat-questions-to-get-clients-talking/ Mon, 06 Jun 2022 19:00:54 +0000 https://www.investmentexecutive.com/?p=445670 Fulfil your KYC obligations without infringing on client privacy

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