In part five of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss advisors’ liability in dealing with client complaints, and explain the processes you should know to ensure your response helps your client and protects you from possible lawsuits.
In part four of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss why advisors can be sued in retirement, and explain steps you need to take to ensure you are not at risk.
In part three of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, explain why face-to-face meetings are essential to advisors’ know-your-client obligations.
In part two of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss what to do when clients’ adult children have power of attorney.
BCSC compliance report card reveals recurring deficiencies in relationship disclosure
In part one of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss three key issues advisors need to consider when selling their book.
The regulator will host outreach sessions to guide firms through the process of completing the questionnaire
Establishing and following processes is key to staying out of trouble with regulators and your clients
Compliance must play a greater part in ensuring they understand advisors’ OBAs before approving them as well as supervising these activities once approval has been granted
Rules governing traditional forms of marketing and advertising apply to digital channels