Regulatory settlement? Inform yourself!
Understand how a settlement can unexpectedly affect you
- By: Ellen Bessner, Aaron Gold
- September 17, 2021 September 17, 2021
- 15:00
Latest news in Ellen Bessner
Why care about changes to regulations?
Three questions to ask to protect yourself and your business
- By: Ellen Bessner
- July 9, 2021 July 9, 2021
- 16:21
How to avoid becoming an enforcement statistic
Regulators measure their success based in part on how many enforcement matters they open and prosecute
- By: Ellen Bessner
- May 28, 2021 May 28, 2021
- 15:30
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
- By: Ellen Bessner
- April 14, 2021 April 14, 2021
- 16:52
Don’t let client preferences come before your legal obligations
Clients may prefer communicating by text, but texting clients comes with risks
- By: Ellen Bessner
- February 2, 2021 February 2, 2021
- 16:22
Video: Think small to feel better
Ellen Bessner returns with one last Positive Note for 2020
- By: Ellen Bessner
- December 1, 2020 December 15, 2020
- 15:41
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
- By: Ellen Bessner, Zach Pringle
- October 16, 2020 May 18, 2021
- 16:04
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
- By: Ellen Bessner, Zach Pringle
- September 18, 2020 September 18, 2020
- 16:16
Perch me on your shoulder
How to avoid the most common legal and regulatory infractions
- By: Ellen Bessner
- May 26, 2020 May 26, 2020
- 16:48
Build client trust through each team member
Your team is crucial to building client trust during this pandemic and beyond
- By: Ellen Bessner
- May 19, 2020 May 19, 2020
- 17:33
How to build client trust during the pandemic and beyond
This pandemic is an opportunity to build trust by showing clients your value
- By: Ellen Bessner
- May 12, 2020 May 12, 2020
- 16:45
What your clients should include in their personal continuity plans
Help your clients prepare for a rainy day with this helpful list
- By: Ellen Bessner
- May 5, 2020 May 5, 2020
- 17:19
Developing a personal continuity plan
Help your clients learn from this pandemic to prepare for any future personal emergencies
- By: Ellen Bessner
- April 28, 2020 May 4, 2020
- 17:04
Our giant dog
This personal, heartwarming story might help distract you during these trying times
- By: Ellen Bessner
- April 21, 2020 April 21, 2020
- 17:46
Pandemic, stress and luxury
How to use your free time to reduce stress and prepare for the future
- By: Ellen Bessner
- April 14, 2020 April 15, 2020
- 17:13
How to write meaningful emails to clients
Well-written emails can help you build trust — and they might even put a smile on a client’s face
- By: Ellen Bessner
- April 7, 2020 April 7, 2020
- 16:55
How to listen to your clients
What your clients really need is for you to hear them, but how do you do that?
- By: Ellen Bessner
- March 31, 2020 March 31, 2020
- 16:49
Preparing for the second phone call
It’s important to keep in touch with clients regularly right now — especially clients who are alone
- By: Ellen Bessner
- March 23, 2020 March 23, 2020
- 17:03
Call your clients
Here is a list of what to talk about
- By: Ellen Bessner
- March 17, 2020 March 17, 2020
- 18:04
This coffee shop offers a blueprint on how to build your business
Balzac’s founder Diana Olsen has achieved success by sticking to her strengths — and you can too
- By: Ellen Bessner
- March 6, 2020 March 13, 2020
- 14:33
Tips to avoid getting tipped
How to protect yourself from risks of insider trading
- By: Ellen Bessner, Michael Bookman
- February 7, 2020 March 6, 2020
- 15:56
Build your business one KYC update at a time
Why KYC updates have never been more important to your success
- By: Ellen Bessner
- January 10, 2020 January 22, 2020
- 16:48
It ain’t over till it’s over
Litigation risk exists even after you’re retired or unable to work
- By: Ellen Bessner, Michael Bookman
- November 29, 2019 December 12, 2019
- 16:03
Selling your book of business? Make sure it is compliant
Sophisticated buyers will know what to look for to determine if it is a compliant business
- By: Ellen Bessner
- November 1, 2019 November 14, 2019
- 14:17
Are you still not getting KYC and suitability right?
The OSC says there is a lot of room for improvement in its 2019 summary report
- By: Ellen Bessner, Michael Bookman
- October 4, 2019 November 14, 2019
- 16:43