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Ellen Bessner and Dan Richards discuss how advisors should respond when they are audited by a regulator (Part 8 of 8)

  • March 20, 2017 August 14, 2018
  • 06:00

Ellen Bessner and Dan Richards discuss the steps you need to take right away if a client makes a complaint that may involve a lawsuit (Part 7 of 8)

  • March 12, 2017 August 14, 2018
  • 10:00

Ellen Bessner and Dan Richards explain that an issue with one regulator is increasingly requiring advisors to respond to several regulatory bodies (Part 6 of 8)

  • March 3, 2017 August 14, 2018
  • 16:00

Ellen Bessner and Dan Richards explain three common approaches to managing clients' risk tolerance that leave advisors open to litigation risk (Part 5 of 8)

  • February 27, 2017 August 14, 2018
  • 06:30

Ellen Bessner and Dan Richards explain three key common know-your-client pitfalls that can lead to lawsuits (Part 4 of 8)

  • February 21, 2017 August 14, 2018
  • 06:30

Ellen Bessner and Dan Richards discuss the key takeaways from the OSC's 2015 mystery shop exercise and give tips on handling regulators' upcoming mystery shops (Part 3 of 4)

  • February 14, 2017 August 14, 2018
  • 06:00

Ellen Bessner and Dan Richards discuss three common advisor shortcuts that can lead to lawsuits in the long term (Part 2 of 8)

  • February 6, 2017 August 14, 2018
  • 15:10

Ellen Bessner and Dan Richards discuss how to screen out problem prospects before they become clients (Part 1 of 8)

  • January 30, 2017 August 14, 2018
  • 06:30

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.

  • August 2, 2016 June 21, 2018
  • 05:30

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.

  • July 25, 2016 June 21, 2018
  • 05:30