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Advisor At Risk: A Roadmap to Protecting Your Business

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About this Book

Mass Market Paperbound

184 Pages, 5.75 x 9 x 0 in

May 1, 2008

Shore Publishing


0978228251
9780978228255

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.

From the Critics

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 detailing 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

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 license from unwelcome litigation and regulatory complaints.

Jonathan Chevreau, National Post

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Reviews from the Community1 Review

  • Janet Fournier

    Janet Fournier

    • 1 person found this helpful

    Excellent Reading for All Advisors 4

    2 years ago

    I am a compliance coordinator and found this book very well written. It is important for advisors to realize the importance of compliance in their day to day activity with clients and what they don't do can come back to harm them.

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