"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