Ellen Bessner and Dan Richards discuss how advisors should respond when they are audited by a regulator (Part 8 of 8)
Ellen Bessner and Dan Richards discuss the steps you need to take right away if a client makes a complaint that may involve a lawsuit (Part 7 of 8)
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)
Ellen Bessner and Dan Richards explain three common approaches to managing clients' risk tolerance that leave advisors open to litigation risk (Part 5 of 8)
Ellen Bessner and Dan Richards explain three key common know-your-client pitfalls that can lead to lawsuits (Part 4 of 8)
Ellen Bessner and Dan Richards discuss the key takeaways from the OSC's 2015 mystery shop exercise and give tips on handling regulators' upcoming mystery shops (Part 3 of 4)
Ellen Bessner and Dan Richards discuss three common advisor shortcuts that can lead to lawsuits in the long term (Part 2 of 8)
Ellen Bessner and Dan Richards discuss how to screen out problem prospects before they become clients (Part 1 of 8)
In part eight of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss the know your client (KYC) implications of using Skype and FaceTime to meet with clients.
In part seven of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss the top three tips you need to consider when buying a book of business.