In part five of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss advisors’ liability in dealing with client complaints, and explain the processes you should know to ensure your response helps your client and protects you from possible lawsuits.
In part four of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss why advisors can be sued in retirement, and explain steps you need to take to ensure you are not at risk.
In part three of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, explain why face-to-face meetings are essential to advisors’ know-your-client obligations.
From Saturday Night Live to Google, research shows that psychological safety is the key factor that sets top-performing teams apart from the pack. Team members must feel free to express ideas without fear of retribution
In part two of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss what to do when clients’ adult children have power of attorney.
In part one of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss three key issues advisors need to consider when selling their book.
In this week’s Gaining Altitude, Dan Richards, CEO, Client Insights, gives tips on how to manage clients with very high risk tolerance, who may put their own savings in jeopardy.
The 10,000-hour rule made popular by author Malcolm Gladwell says you have to practise 20 hours a week for 10 years in order to become outstanding at something. This rule applies to financial advisors - and even can improve your golf game
In this week’s Gaining Altitude, Dan Richards, CEO, Client Insights, explains that taking a leading role in a charity and sharing your goals sends a positive message that deepens client bonds.