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Week of October 30, 2018
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Advisor at Risk

Catch up with the most recent Inside Track columns from Ellen Bessner, a well known, leading litigator with commercial litigation firm Babin Bessner Spry LLP. Her more than 20 years of experience includes defending investment and insurance industry participants, including dealers and individuals at all levels of courts.

 
Ellen Bessner
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
October 29, 2018
Ellen Bessner
More is less for your clients
Overloading investors with information can be counterproductive
October 1, 2018
Ellen Bessner
Steer clear of conflicts of interest
Take these four steps to avoid mistakes that can cost advisors their livelihood
September 4, 2018
Ellen Bessner
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
August 7, 2018
Ellen Bessner
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
July 9, 2018
Ellen Bessner
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
May 14, 2018
Ellen Bessner
Regulators need improvement
Given the results of the 2018 Regulators’ Report Card, implementing a better approach may lead to a better outcome next year
April 16, 2018
Ellen Bessner
You acquired a book of business. What now?
Here are four steps to reduce the inherent risks when taking over another advisor’s business
March 15, 2018
Ellen Bessner
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
February 16, 2018
Ellen Bessner
Beware of unforgiving and aggressive regulators
Pressures to build your business should not lead advisors to disregard compliance
January 17, 2018
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