by Ellen Bessner
Shore Publishing | May 1, 2008 | Mass Market Paperbound
Advisor at Risk: A Roadmap to Protecting your Business is the new book by Ellen Bessner, a lawyer with over 15 years' experience defending investment advisors, financial advisors, insurance agents and brokers, their supervisors, and the companies through which they are registered. Advisor at Risk is a must-read for those who operate in the financial and insurance industries who wish to avoid becoming the target of client complaints, regulatory investigations, litigation proceedings, and damaging press releases. Author Ellen Bessner has created an easy-to-read guide for advisors and dealers that offers tips on withstanding the scrutiny of regulators, trial judges, the press and the investigating public.
In her work, Bessner takes an in-depth look at and assessment of risks to advisors, and provides protective strategies for the investment and insurance industries to employ.Advisor at Risk will empower these industries with a new way to secure their business. Bessner stresses the importance of understanding clients and managing their expectations while developing a solid paper trail so that evidence can be corroborated with the necessary proof to render them credible should a dispute emerge.
Although written by one of Canada's foremost authorities on the subject, Advisor at Risk is not a legal text peppered with abstract legalese. Bessner writes with a clarity and humour that makes Advisor at Risk an engaging and accessible read from start to finish.
Members of the financial and insurance industries need be proactive in identifying their risks and managing their business in order to protect their reputation, license and livelihood. Advisor at Risk is the ideal guide for taking control of risk and securing good business.