Advisor At Risk: A Roadmap to Protecting Your Business by Ellen BessnerAdvisor At Risk: A Roadmap to Protecting Your Business by Ellen Bessner

Advisor At Risk: A Roadmap to Protecting Your Business

byEllen Bessner

Mass Market Paperback | May 1, 2008

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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.
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, finan...
Title:Advisor At Risk: A Roadmap to Protecting Your BusinessFormat:Mass Market PaperbackDimensions:184 pages, 9.06 × 6 × 0.62 inPublished:May 1, 2008Publisher:Shore PublishingLanguage:English

The following ISBNs are associated with this title:

ISBN - 10:0978228251

ISBN - 13:9780978228255


Rated 4 out of 5 by from Excellent Reading for All Advisors 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.
Date published: 2008-05-15

Editorial 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, ScotiaMcLeodIn 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 ServicesThe 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