Investment Executive Weekly newsletter

Week of February 14, 2018
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Ellen Bessner
Beware of unforgiving and aggressive regulators
Pressures to build your business should not lead advisors to disregard compliance
January 17, 2018

Ellen Bessner
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
December 17, 2017

Ellen Bessner
AI cannot replace human advisors
Services such as robo-advisors lack the ability to truly understand clients like financial advisors do
November 19, 2017

Ellen Bessner
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
October 22, 2017

Ellen Bessner
Be wary of suspicious instructions
Examine every instruction from a client or power of attorney and take the appropriate steps if something doesn’t seem right
September 24, 2017

Ellen Bessner
Online impersonations put advisors at risk
Resist the temptation to help clients in a way that breaches your legal and regulatory obligations
August 27, 2017


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