Ellen Bessner and Dan Richards discuss how advisors should respond when they are audited by a regulator (Part 8 of 8)
In the final video of our eight-part series, “How not to get sued,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss how advisors should respond when they are audited by a regulator.
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
Position grows to $2 trillion, up $166.6 billion in Q4
Sterling co-founders join MNP as partners
Solid market returns drove household net worth to almost $17.5 trillion
Kids learn about earning, spending, saving and borrowing
aHR0cHM6Ly93d3cuaW52ZXN0bWVudGV4ZWN1dGl2ZS5jb20vaW4tZGVwdGhfL3NwZWNpYWwtcmVwb3J0cy90aHJlZS10aGluZ3MtYWR2aXNvcnMtbmVlZC10by1rbm93LXRvLXN1cnZpdmUtYW4tYXVkaXQv(U2NyZWVuSGVpZ2h0)NzIw(U2NyZWVuV2lkdGg)MTI4MA(T0ZTWVNfUmVmZXJyZXI)(dmlzaXRvcktleQ)SjVMa2RCcGw(dmlzaXRLZXk)T29DUFZZRlE){kind=small}