Managing clients — especially couples — can be challenging
Situations become complicated when couples aren’t on the same page about their goals
- By: Ellen Bessner
- September 6, 2019 November 14, 2019
- 17:05
Latest news in Ellen Bessner
When a client names you executor of their estate
IIROC and MFDA advisors could lose their licence if they act as an executor and/or beneficiary
- By: Ellen Bessner, Michael Bookman
- August 9, 2019 November 14, 2019
- 17:13
Succession for advisors
Don’t leave your dependents in the lurch
- By: Ellen Bessner
- July 12, 2019 November 14, 2019
- 15:47
Avoiding conflicts in soliciting arrangements
IIROC and the CSA have provided new guidance to dealers
- By: Ellen Bessner, Michael Bookman
- June 14, 2019 November 14, 2019
- 15:24
If the regulator or SRO comes knocking, answer the door
Not responding will result in a much harsher penalty
- By: Ellen Bessner
- May 17, 2019 May 18, 2021
- 16:00
Understanding your fiduciary duty
Tips for knowing when you’re in a fiduciary relationship and providing dutiful service
- By: Ellen Bessner, Michael Bookman
- April 18, 2019 November 14, 2019
- 17:00
Invisible women clients
Advisors who ignore this emerging pool of wealth do so at their own peril
- By: Ellen Bessner
- March 22, 2019 November 14, 2019
- 16:23
Three key principles for power of attorney
As the Canadian population ages, many advisors face difficult situations regarding POA
- By: Ellen Bessner, Michael Bookman
- February 22, 2019 November 14, 2019
- 16:30
A missed opportunity for advisors
Updating your clients’ KYC form is both a chance to show clients that you have a sincere interest in helping them meet their goals and…
- By: Ellen Bessner
- January 28, 2019 November 14, 2019
- 06:00
Surviving the robo-advisor threat
A connection between advisors and their clients through clear communication will ensure advisors survive and succeed
- By: Ellen Bessner
- January 2, 2019 November 14, 2019
- 06:00
Advisors need to manage clients’ expectations
Advisors should ensure they communicate consistently with their clients while clients need to keep their expectations in check
- By: Ellen Bessner
- November 26, 2018 November 14, 2019
- 06:30
Communication is a two-way street
Advisors and their clients need the tools and resources to close the dangerous communication gap that exists between them
- By: Ellen Bessner
- October 29, 2018 November 14, 2019
- 07:00
More is less for your clients
Overloading investors with information can be counterproductive
- By: Ellen Bessner
- October 1, 2018 November 14, 2019
- 06:00
Steer clear of conflicts of interest
Take these four steps to avoid mistakes that can cost advisors their livelihood
- By: Ellen Bessner
- September 4, 2018 November 14, 2019
- 06:00
How to adhere to the regulations without reading them all
If you can’t read and digest all the rules, make sure to understand the principles behind them
- By: Ellen Bessner
- August 7, 2018 November 14, 2019
- 06:00
What’s Age Got to Do with It?
A client’s age has taken on an overly important role when advisors determine suitability of investments for clients
- By: Ellen Bessner
- July 9, 2018 November 14, 2019
- 06:00
New enforcement powers have major implications for some advisors
Court enforcement means penalized advisors who have left the industry need a new approach
- By: Ellen Bessner
- June 11, 2018 November 14, 2019
- 06:00
How to reduce your business risk substantially
Advisors need to educate themselves about the laws and regulations and monitor themselves to ensure they’re compliant with these rules
- By: Ellen Bessner
- May 14, 2018 November 14, 2019
- 06:00
Regulators need improvement
Given the results of the 2018 Regulators’ Report Card, implementing a better approach may lead to a better outcome next year
- By: Ellen Bessner
- April 16, 2018 November 14, 2019
- 07:20
You acquired a book of business. What now?
Here are four steps to reduce the inherent risks when taking over another advisor’s business
- By: Ellen Bessner
- March 15, 2018 November 14, 2019
- 01:00
Legal help is critical in regulatory interview process
Lawyers may cost money, but they can help you be prepared to protect your licence, livelihood and reputation when speaking with regulators
- By: Ellen Bessner
- February 16, 2018 November 14, 2019
- 16:50
Beware of unforgiving and aggressive regulators
Pressures to build your business should not lead advisors to disregard compliance
- By: Ellen Bessner
- January 17, 2018 November 14, 2019
- 14:00
Entrepreneurial advisors need to find the right balance
There are various reasons why advisors take risks and get into trouble with regulators; here are some key measures you could take to protect yourself
- By: Ellen Bessner
- December 17, 2017 November 14, 2019
- 20:00
AI cannot replace human advisors
Services such as robo-advisors lack the ability to truly understand clients like financial advisors do
- By: Ellen Bessner
- November 19, 2017 November 14, 2019
- 17:20
Get on top of potential conflicts of interest
Take the necessary steps to know your clients thoroughly and determine if one family member’s actions could put you in a conflict of interest situation
- By: Ellen Bessner
- October 22, 2017 November 14, 2019
- 18:00