Overview
"""The occupational hazard of being a financial advisor is being sued by clients when some well-meaning advice does not work out. Securities lawyer Ellen Bessner's Advisor at Risk is an essential guide that maps out how advisors can protect their business reputation and licence from unwelcome litigation and regulatory complaints."" -- Jonathan Chevreau, National Post Advisor at Risk is the complete resource for taking control of risk and securing good business. It is a best practices must-read for anyone in the investment and insurance industries who wants to avoid becoming the target of client complaints, regulatory investigations, litigation proceedings and damaging press releases. Author Ellen Bessner takes an in-depth look at risks to advisors and provides practical, easy-to-follow strategies. Drawing on over 25 years of firsthand experience, she stresses the importance, for example, of knowing your client and managing their expectations while maintaining their expectations while maintaining a solid paper trail should a dispute emerge. Who should read this book: Licensed and unlicensed individuals working in investment or insurance industries Branch managers and supervisors Licensed and unlicensed assistants supporting advisors or agents Rookies"
Full Product Details
Author: Ellen Bessner
Publisher: Babin Bessner Spry Llp
Imprint: Babin Bessner Spry Llp
Dimensions:
Width: 15.20cm
, Height: 1.00cm
, Length: 22.90cm
Weight: 0.272kg
ISBN: 9781775383727
ISBN 10: 1775383725
Pages: 180
Publication Date: 16 October 2018
Audience:
General/trade
,
General
Format: Paperback
Publisher's Status: Active
Availability: Available To Order
We have confirmation that this item is in stock with the supplier. It will be ordered in for you and dispatched immediately.
Reviews
Advisor at Risk is a tremendous resource for the investment industry. A foremost authority on compliance relating to financial services, Bessner has condensed her near two decades of knowledge and experience into an eminently readable text filled with common sense advice and sparkling with wit. If you want to know the risks inherent in being an investment professional, and learn how to avoid them, Advisor at Risk is a must have book -- Christopher Kruczynski, Senior Investment Executive, ScotiaMcLeod In the challenging and complex world of compliance, Advisor at Risk offers a clear understanding and detailling of the issues, and expert advice on avoiding industry pitfalls. Bessner's superior work should be required reading for any advisor hoping to build a compliant and successful practice. -- Dirk Hohmann, B.Sc. CFP, London Life, Quadrus Investment Services
"""Advisor at Risk is a tremendous resource for the investment industry. A foremost authority on compliance relating to financial services, Bessner has condensed her near two decades of knowledge and experience into an eminently readable text filled with common sense advice and sparkling with wit. If you want to know the risks inherent in being an investment professional, and learn how to avoid them, Advisor at Risk is a must have book"" -- Christopher Kruczynski, Senior Investment Executive, ScotiaMcLeod ""In the challenging and complex world of compliance, Advisor at Risk offers a clear understanding and detailling of the issues, and expert advice on avoiding industry pitfalls. Bessner's superior work should be required reading for any advisor hoping to build a compliant and successful practice."" -- Dirk Hohmann, B.Sc. CFP, London Life, Quadrus Investment Services"
