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Ellen Bessner, a litigation partner at Cassels Brock & Blackwell LLP, describes her experience with regulators when defending her clients. She says regulators ought to be more transparent with enforcement notices and share information with the advisors, dealers and issuers under investigation. She spoke with Gavin Adamson at the TMX Broadcast Centre in Toronto.

  • April 30, 2012 January 21, 2018
  • 10:20

In part 4 of this series, Ellen Bessner, a litigation partner at Cassels, Brock and Blackwell LLP, argues that advisors shouldn't hide from their compliance departments. She spoke at TMX Broadcast Centre in Toronto.

  • April 22, 2012 January 21, 2018
  • 20:15

In part three of this series, Ellen Bessner, a litigation partner with Cassels, Brock and Blackwell LLP, discusses how advisors can be transparent about the products they sell. She argues that if manufacturers can’t describe products in a way that advisors can understand, then clients should not own them. She spoke at the TMX Broadcast Centre in Toronto.

  • April 17, 2012 January 21, 2018
  • 07:00

In part 2 of this series, Ellen Bessner, a partner with Cassels, Brock and Blackwell LLP in Toronto, says clients don’t like to be surprised. She describes how an advisor can avoid surprises by being transparent with clients. She spoke with Gavin Adamson at the TMX Broadcast Centre.

  • April 9, 2012 January 21, 2018
  • 15:30

  • April 2, 2012 January 21, 2018
  • 06:00

George Hartman, managing director at Accretive Advisors, explains why it’s important to communicate your succession plan to stakeholders at every stage of the process. Let our clients, partners, staff, dealer firm and family know how your plans will affect them. He spoke with Gavin Adamson at the TMX Broadcast Centre in Toronto.

  • February 21, 2012 January 23, 2018
  • 18:00

Monique Gravel wants to boost performance at CIBC Wood Gundy by raising productivity and promoting a culture of excellence

  • August 29, 2011 August 29, 2011
  • 11:05

Advisors say they are happier with the support services offered by their firms; still, some advisors are not sure what services their firms offer, while others suggest there is plenty of work left to do to bring these services up to par

  • May 26, 2011 May 26, 2011
  • 12:25

Are regulators making markets attractive enough to investors without restricting business for dealers?

  • April 1, 2011 April 1, 2011
  • 11:55

Financial awards made to clients often cannot be paid

  • March 7, 2011 March 7, 2011
  • 11:53