Ellen Bessner – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 25 Nov 2024 03:36:59 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Ellen Bessner – Investment Executive https://www.investmentexecutive.com 32 32 Breaking up doesn’t have to be hard to do https://www.investmentexecutive.com/inside-track_/ellen-bessner/breaking-up-doesnt-have-to-be-hard-to-do/ Fri, 22 Nov 2024 21:00:23 +0000 https://www.investmentexecutive.com/?p=497116 Three steps to reduce the risk and pain of advisor partnership breakups

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]]> Breaking up is hard to do, Part 1 https://www.investmentexecutive.com/inside-track_/ellen-bessner/breaking-up-is-hard-to-do-part-1/ Mon, 11 Nov 2024 21:22:17 +0000 https://www.investmentexecutive.com/?p=496501 Risks when partnering with other financial advisors

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]]> Don’t go down with your client’s ship https://www.investmentexecutive.com/inside-track_/ellen-bessner/dont-go-down-with-your-clients-ship/ Mon, 30 Sep 2024 20:00:13 +0000 https://www.investmentexecutive.com/?p=493613 Use these three steps to deal with clients who insist on unsuitable investments

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]]> No note-taking requirements in CFRs? Think again! https://www.investmentexecutive.com/inside-track_/ellen-bessner/no-note-taking-requirements-in-cfrs-think-again/ Fri, 26 Jul 2024 20:00:10 +0000 https://www.investmentexecutive.com/?p=490028 The rules are in code. Here’s how to crack the code

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]]> To protect yourself and clients, rethink trusted contacts https://www.investmentexecutive.com/inside-track_/ellen-bessner/to-protect-yourself-and-clients-rethink-trusted-contacts/ Fri, 17 May 2024 18:25:22 +0000 https://www.investmentexecutive.com/?p=486093 Why clients need to name different people as PoA and TCP

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]]> Do your notes pass the sniff test? https://www.investmentexecutive.com/inside-track_/ellen-bessner/do-your-notes-pass-the-sniff-test/ Mon, 08 Apr 2024 19:35:33 +0000 https://www.investmentexecutive.com/?p=483363 Here are three steps to prove suitability

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]]> A perfect storm lies ahead for advisors and dealers https://www.investmentexecutive.com/inside-track_/ellen-bessner/a-perfect-storm-lies-ahead-for-advisors-and-dealers/ Mon, 20 Nov 2023 20:00:22 +0000 https://www.investmentexecutive.com/?p=475621 Mitigate your risk amid potential enforcement delays, CFR audits

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]]> Thinking of leaving your dealer? Here’s what to consider https://www.investmentexecutive.com/inside-track_/ellen-bessner/thinking-of-leaving-your-dealer-heres-what-to-consider/ Wed, 19 Jul 2023 19:00:37 +0000 https://www.investmentexecutive.com/?p=468907 Protect your business, reputation and clients by knowing your rights and obligations

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]]> Key legal and regulatory issues to heed https://www.investmentexecutive.com/inside-track_/ellen-bessner/key-legal-and-regulatory-issues-to-heed/ Wed, 31 May 2023 19:00:00 +0000 https://www.investmentexecutive.com/?p=466492 Follow these tips to protect your licence and reputation

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]]> Pass compliance audits and win credibility with the 5Cs https://www.investmentexecutive.com/inside-track_/ellen-bessner/pass-compliance-audits-and-win-credibility-with-the-5cs/ Mon, 13 Mar 2023 19:35:00 +0000 https://www.investmentexecutive.com/?p=462130 Protect yourself by creating a robust client communication trail

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