Compliance officers are there to ensure you and your firm stay out of trouble. Here are some tips on how to help them do that
The product most commonly associated with potentially unsuitable recommendations is variable annuities
As the regulatory environment in the financial services sector continues to evolve, keeping up with a steadily growing list of compliance responsibilities is a major challenge for financial advisors
In part eight of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss the know your client (KYC) implications of using Skype and FaceTime to meet with clients.
The report contains an update on exempt market reform and crowdfunding
In part seven of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss the top three tips you need to consider when buying a book of business.
Commission publishes summary report for dealers, advisors and investment fund managers
The Financial Conduct Authority seeks to encourage innovation and to help identify opportunities for the adoption of new technologies
In part six of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss why you need a power of attorney document from every client, and give tips on when and how to broach this issue in a positive way.
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.