From the Jacket
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.
About the Author
Ellen Bessner
Ms. Bessner is a litigation partner in Gowlings' Toronto office.
She regularly represents financial institutions, brokerage firms,
corporations and individuals in all aspects of commercial and
securities issues, employment law, and professional liability,
including investment advisors, registered representatives,
financial advisors, branch managers, CEOs, CFOs, COOs, CCOs,
compliance officers, insurance brokers, insurance agents, and MGAs.
Ms. Bessner appears before the Superior Court of Ontario and the
Ontario Court of Appeal, and various tribunals, including the IDA,
MFDA, OSC, FSCO and RS. Ms. Bessner is a regular speaker at
industry (MFDA, IDA, Provincial Securities Commissions, IFIC,
Advocis, ACCP) and dealer conferences. She writes regularly for the
National Post and has written extensively for industry publications
on matters of risk management and compliance, has co-written a
paper on investment advisor's liability for the Canadian Securities
Institute's continuing education program, and published a paper on
the Fair Dealing Model.
Ms. Bessner offers compliance, risk management and AML courses to
dealers, for Compliance Officers, Branch Managers, Advisors and
Institutional Traders, which have been recognized by SROs and
industry organizations for Continuing Education credits. See
www.gowlings.com/courses. She is also the Editor-in-Chief of
Gowlings' newsletter Compliance@Gowlings, a bulletin designed to
support dealers and advisors with compliance and legal issues in
the financial industry. Ms. Bessner has been retained by MFDA
members, and recognized by the MFDA as an Independent Consultant
for testing and reporting purposes. Ms. Bessner was called to the
Ontario Bar in 1989 after completing her LLB at Osgoode Hall Law
School and her Bachelor of Commerce at McGill University.
Mass Market Paperbound
184 Pages, 6 x 9.06 x 0.62 in
May 1, 2008
Shore Publishing
English
0978228251
9780978228255