“Best Kept Secret about KYC” By Ellen Bessner BABIN BESSNER SPRY LLP How important is the client’s investment knowledge/sophistication when determining suitability? Very important – Ellen explains that this criterion can impact both a judge’s and...
“Big Fat Questions to Get Clients Talking” By Ellen Bessner BABIN BESSNER SPRY LLP While we understand that regulators require advisors to collect sufficient detail about each client to enable them to exercise their professional judgment to meet their...
Learn about who can be your Trusted Contact Person and why having one can provide an extra layer of protection for your financial accounts. Naming a Trusted Contact Person can be particularly helpful for seniors and vulnerable...
A compilation of the most commonly used national and multilateral instruments and policies affecting registered financial services firms and individuals. Updated to include amendments to National Instruments 31-103 and 33-109 and their Companion Policies that came...
“Getting out of Dodge is not the Answer” By Ellen Bessner and Aaron Gold BABIN BESSNER SPRY LLP When faced with an investigation or hearing an advisor’s first instinct may be to leave the industry or be uncooperative when in fact these actions...
