Jun 6, 2022 | News
“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...
May 30, 2022 | News
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...
May 5, 2022 | News
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...
Apr 21, 2022 | News
“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...
Apr 7, 2022 | News
“Sanctions Ordered by SROs Facing Increased Scrutiny from Regulators” By Aaron Gold and Ellen Bessner BABIN BESSNER SPRY LLP Aaron and Ellen outline real-life examples that suggest that provincial securities regulators may be increasing their willingness...
Apr 5, 2022 | News
“Serving Fewer Clients Can Lead to a Big Payoff” By Ellen Bessner BABIN BESSNER SPRY LLP Feeling overwhelmed with advisor obligations? Many advisors are. Ellen suggests that one of the ways for advisors to protect their licence, is by reducing the number...
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