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)
In part six of our original series, “How not to get sued,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, explain that due to expanding scrutiny and Internet-era information, an issue with one regulator is increasingly requiring advisors to respond to several regulatory bodies.
Insurance advisors answered multiple-choice questions about their industry experience for this inaugural research
Housing costs are a growing worry, BMO index finds
New funds hold several big names found in broad U.S. stock indexes
Effective communication, whether digital or in person, remains key to strong client/advisor relationships
Firms must communicate with advisors and provide training when implementing new systems
Advisors want fair compensation plus the ability to avoid conflicts of interest when meeting clients' needs
The acquisition also marks the launch of Canaccord’s Ottawa office