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 20 years of firsthand experience, she stresses the importance, for example, of knowing your client and managing their expectations while maintaining a solid paper trail should a dispute emerge.

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

IIROC/MFDA/Insurance

• Licensed and unlicensed individuals working in investment or insurance industries
• Branch Managers/Supervisors
• Licensed and unlicensed Assistants supporting Advisors or Agents
• Rookies

Ellen Bessner is a leading expert on compliance risk in the financial services industry. A senior litigation lawyer, she has over 25 years’ experience representing financial institutions, brokerage firms, corporations and individuals in litigation and before regulatory tribunals. She has delivered presentations across North America on compliance risk and writes extensively on risk management and compliance.

To order a copy or copies of “Advisor at Risk”, please complete the order form  and and send to the attention of Christine Myrden via fax at: (905) 474.9830 or email at:  c.myrden@bmg-group.com.

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