Ellen Bessner's Publications
- "Key Legal and Regulatory Issues to Heed"
By Ellen Bessner | Published by Babin Bessner Spry | May 31, 2023
- "Pass Compliance Audits and Win Credibility with the 5Cs"
By Ellen Bessner | Published by Babin Bessner Spry | March 13, 2023
- "More Tough Love for Advisors"
By Ellen Bessner | Published by Babin Bessner Spry | February 1, 2023
- "Set your client-advisor relationships up for success"
By Ellen Bessner | Published by Babin Bessner Spry | November 14, 2022
- "Questions to assess the best kept secret about KYC"
By Ellen Bessner | Published by Babin Bessner Spry | October 18, 2022
- "Best Kept Secret about KYC"
By Ellen Bessner | Published by Babin Bessner Spry | July 25, 2022
- "Big Fat Questions to Get Clients Talking"
By Ellen Bessner | Published by Babin Bessner Spry | June 6, 2022
- "Getting out of Dodge is not the Answer"
By Ellen Bessner and Aaron Gold | Published by Babin Bessner Spry | April 21, 2022
- "Sanctions Ordered by SROs Facing Increased Scrutiny from Regulators"
By Aaron Gold and Ellen Bessner | Published by Babin Bessner Spry | April 7, 2022
- "Serving Fewer Clients Can Lead to a Big Payoff"
By Ellen Bessner | Published by Babin Bessner Spry | April 5, 2022
- "Grow Your Business Using the CFRs"
By Ellen Bessner | Published by Babin Bessner Spry | February 7, 2022
- "But That's What the Client Wanted"
By Ellen Bessner | Published by Babin Bessner Spry | November 15, 2021
- "Regulatory Settlement? Inform Yourself!"
By Ellen Bessner | Published by Babin Bessner Spry | September 17, 2021
- "Why Care About Changes to Regulations?"
By Ellen Bessner | Published by Babin Bessner Spry | July 9, 2021
- "How to Avoid Becoming an Enforcement Statistic"
By Ellen Bessner | Published by Babin Bessner Spry | May 28, 2021
- "You Can't be a Walking Rulebook"
By Ellen Bessner | Published by Babin Bessner Spry | April 14, 2021
- "Don't Let Client Preferences Come Before Your Legal Obligations"
By Ellen Bessner | Published by Babin Bessner Spry | February 2, 2021
- "Video: Think Small to Feel Better"
By Ellen Bessner | Published by Babin Bessner Spry | December 1, 2020
- "Valedictorian Speech, Class of DEP85 - 2020"
By Ellen Bessner November 2020
- "Should You be Penalized for Being Prudent with Clients' Portfolios?"
By Ellen Bessner | Published by Babin Bessner Spry | October 16, 2020
- "An Ounce of Prevention is Worth a Pound of Cure"
By Ellen Bessner | Published by Babin Bessner Spry | September 18, 2020
- "Ellen's Positive Note #11"
By Ellen Bessner | Published by Babin Bessner Spry | May 26, 2020
- "Ellen's Positive Note #10"
By Ellen Bessner | Published by Babin Bessner Spry | May 19, 2020
- "Ellen's Positive Note #9"
By Ellen Bessner | Published by Babin Bessner Spry | May 12, 2020
- "Ellen's Positive Note #8"
By Ellen Bessner | Published by Babin Bessner Spry | May 5, 2020
- "Ellen's Positive Note #7"
By Ellen Bessner | Published by Babin Bessner Spry | April 28, 2020
- "Ellen's Positive Note #6"
By Ellen Bessner | Published by Babin Bessner Spry | April 21, 2020
- "Ellen's Positive Note #5"
By Ellen Bessner | Published by Babin Bessner Spry | April 14, 2020
- "Ellen's Positive Note #4"
By Ellen Bessner | Published by Babin Bessner Spry | April 7, 2020
- "Ellen's Positive Note #3"
By Ellen Bessner | Published by Babin Bessner Spry | March 31, 2020
- "Ellen's Positive Note #2"
By Ellen Bessner | Published by Babin Bessner Spry | March 23, 2020
- "Ellen's Positive Note #1"
By Ellen Bessner | Published by Babin Bessner Spry | March 19, 2020
- "Tips to avoid getting tipped"
By Ellen Bessner | Published by Investment Executive | February 7, 2020
- "Build your business one KYC update at a time"
By Ellen Bessner | Published by Investment Executive | January 10, 2020
- "Selling your book of business? Make sure it is compliant"
By Ellen Bessner and Michael Bookman | Published by Investment Executive | November 1, 2019
- "Are you still not getting KYC and suitability right?"
By Ellen Bessner and Michael Bookman | Published by Investment Executive | October 4, 2019
- "Managing clients — especially couples — can be challenging"
By Ellen Bessner | Published by Investment Executive | September 6, 2019
- Quoted in "Ending relationships with clients must be done with tact"
By Helen Burnett-Nichols | Published by the Globe and Mail| September, 2019
- "When a client names you executor of their estate"
By Ellen Bessner | Published by Investment Executive | August 9, 2019
- "Sucession for Advisors"
By Ellen Bessner | Published by Investment Executive | July 12, 2019
- "Avoiding conflicts in soliciting arrangements"
By Ellen Bessner | Published by Investment Executive | June 14, 2019
- "If the regulator or SRO comes knocking, answer the door"
By Ellen Bessner | Published by Investment Executive | May 17, 2019
- "Understanding your Fiduciary Duty"
By Ellen Bessner | Published by Investment Executive | April 18, 2019
- Quoted in "Volatility worries compliance officers"
By Leah Golob | Published by Investment Executive | April 5, 2019
- "Invisible Women Clients"
By Ellen Bessner | Published by Investment Executive | March 22, 2019
- "Three Key Principles for Power of Attorney"
By Ellen Bessner | Published by Investment Executive | February 22, 2019
- "A Missed Opportunity for Advisors"
By Ellen Bessner | Published by Investment Executive | January 28, 2019
- "Surviving the Robo Advisor Threat"
By Ellen Bessner | Published by Investment Executive | January 2, 2019
- "Advisors Need to Manage Clients' Expectations"
By Ellen Bessner | Published by Investment Executive | November 26, 2018
- "Communication is a two way street"
By Ellen Bessner | Published by Investment Executive | October 29, 2018
- "More is less for your clients"
By Ellen Bessner | Published by Investment Executive | October 1, 2018
- "Steer Clear of Conflicts of Interest"
By Ellen Bessner | Published by Investment Executive | September 4, 2018
- "How to adhere to the regulations without reading them all"
By Ellen Bessner | Published by Investment Executive | August 7, 2018
- "What's age got to do with it?"
By Ellen Bessner | Published by Investment Executive | July 9, 2018
- "New enforcement powers have major implications for some advisors"
By Ellen Bessner | Published by Investment Executive | June 11, 2018
- "How to reduce your business risk substantially"
By Ellen Bessner | Published by Investment Executive | May 14, 2018
- "Regulators Need Improvement"
By Ellen Bessner | Published by Investment Executive | April 16, 2018
- "You acquired a book of business. What now?"
By Ellen Bessner | Published by Investment Executive | March 15, 2018
- "Legal help is critical in regulatory review process"
By Ellen Bessner | Published by Investment Executive | February 16, 2018
- "Beware of unforgiving and aggressive regulators"
By Ellen Bessner | Published by Investment Executive | January 17, 2018
- "Entrepreneurial advisors need to find the right balance"
By Ellen Bessner | Published by Investment Executive | December 17, 2017
- "AI cannot replace human advisors"
By Ellen Bessner | Published by Investment Executive | November 19, 2017
- "Get on top of potential conflicts of interest"
By Ellen Bessner | Published by Investment Executive | October 22, 2017
- "Be wary of suspicious instructions"
By Ellen Bessner | Published by Investment Executive | September 24, 2017
- "Online impersonations put advisors at risk"
By Ellen Bessner | Published by Investment Executive | August 2, 2017
- "Demystifying the confusion associated with joint accounts"
By Ellen Bessner | Published by Investment Executive | July 30, 2017
- "Protect your reputation"
By Ellen Bessner | Published by Investment Executive | July 3, 2017
- "Think clearly before responding to compliance inquiries"
By Ellen Bessner | Published by Investment Executive | June 5, 2017
- "How to prepare for an investigation interview"
By Ellen Bessner | Published by Investment Executive | May 8, 2017
- "Be prepared when compliance or regulators come a-knocking"
By Ellen Bessner | Published by Investment Executive | April 10, 2017
- "Clearing up the confusion with outside business activities"
By Ellen Bessner | Published by Investment Executive | March13, 2017
- "Don’t get sued: The importance of monitoring client changes"
By Ellen Bessner | Published by Investment Executive | February 13, 2017
- "Don’t get sued: The importance of really knowing your clients"
By Ellen Bessner | Published by Investment Executive | January 16, 2017
- "Don’t get sued: Choose the right clients"
By Ellen Bessner | Published by Investment Executive | December 19, 2016
- Quoted in "Investing in your assistants is critical, lawyer recommends"
By Tessie Sanci | Published by Investment Executive | December 5, 2016
- "Assistants can be crucial to an advisor's business"
By Ellen Bessner | Published by Investment Executive | November 21, 2016
- "Don’t make your clients’ problems your own"
By Ellen Bessner | Published by Investment Executive | October 24, 2016
- "The “F” word"
By Ellen Bessner | Published by Investment Executive | September 26, 2016
- "OBSI, for better or for worse"
By Ellen Bessner | Published by Investment Executive | August 29, 2016
- "The increasing complexities of senior clients with POAs"
By Ellen Bessner | Published by Investment Executive | August 2, 2016
- "Regulators send clear message to protect senior clients"
By Ellen Bessner | Published by Investment Executive | July 04, 2016
- "Pass a mystery shopping exercise with flying colours"
By Ellen Bessner | Published by Investment Executive | June 06, 2016
- "Don't practise "The Ostrich Phenomenon"
By Ellen Bessner | Published by Investment Executive | May 09, 2016
- "Protect senior clients from their loved ones"
By Ellen Bessner | Published by Investment Executive | April 11, 2016
- "Help senior clients identify looming fraudsters"
By Ellen Bessner | Published by Investment Executive | March 14, 2016
- "Buying a book of business? Be forewarned!"
By Ellen Bessner | Published by Investment Executive | February 16, 2016
- "Advisors need to take their own advice on succession planning"
By Ellen Bessner | Published by Investment Executive | January 18, 2016
- "Don't ignore a great opportunity to grow your business"
By Ellen Bessner | Published by Investment Executive | December 14, 2015
- "Ignore the invisible woman client at your peril"
By Ellen Bessner | Published by Investment Executive | November 16, 2015
- "Ignore the dealer's policy manual at your peril"
By Ellen Bessner | Published by Investment Executive | October 19, 2015
- "A roadmap for serving senior clients"
By Ellen Bessner | Published by Investment Executive | September 21, 2015
- "Serving senior clients is becoming a more risky endeavour"
By Ellen Bessner | Published by Investment Executive | August 24, 2015
- "The juggling act required with the three changing elements of suitability"
By Ellen Bessner | Published by Investment Executive | July 27, 2015
- "Financial plans: Understand and manage your risks"
By Ellen Bessner | Published by Investment Executive | June 29, 2015
- "Navigating risk tolerance"
By Ellen Bessner | Published by Investment Executive | June 01, 2015
- "Know your client's income - and prove it"
By Ellen Bessner | Published by Investment Executive | May 04, 2015
- "Don't let the worst-case scenario happen to you"
By Ellen Bessner | Published by Investment Executive | April 06, 2015
- "What does spring cleaning mean to advisors?"
By Ellen Bessner | Published by Investment Executive | March 09, 2015
- "Know your client - but not too well"
By Ellen Bessner | Published by Investment Executive | February 09, 2015
- "More than a client's signature is needed"
By Ellen Bessner | Published by Investment Executive | January 12, 2015
- "Time to read up on investor education"
By Ellen Bessner | Published by Investment Executive | December 01, 2014
- "Jack and Jill want to take different routes"
By Ellen Bessner | Published by Investment Executive | November 03, 2014
- "Advisors must be gatekeepers against insider trading"
By Ellen Bessner | Published by Investment Executive | October 06, 2014
- "Don't be haunted, get the POA in writing"
By Ellen Bessner | Published by Investment Executive | September 08, 2014
- "Advisors are not picking lottery numbers"
By Ellen Bessner | Published by Investment Executive | August 11, 2014
- "Don't shoot the messenger"
By Ellen Bessner | Published by Investment Executive | July 14, 2014
- "Advisors are not magicians"
By Ellen Bessner | Published by Investment Executive | June 16, 2014
- "Don't let this happen to you"
By Ellen Bessner | Published by Investment Executive | May 20, 2014
- "Who are advisors to protect seniors from?"
By Ellen Bessner | Published by Investment Executive | April 21, 2014
- "Evidence shows investor-protection system is working"
By Ellen Bessner | Published by Investment Executive | March 24, 2014
- "Work with engaged clients to reduce risk"
By Ellen Bessner | Published by Investment Executive | February 23, 2014
- "Striped socks and knowing your clients"
By Ellen Bessner | Published by Investment Executive | January 27, 2014
- "Grow your business with trust"
By Ellen Bessner | Published by Investment Executive | December 16, 2013
- "A missed opportunity"
By Ellen Bessner | Published by Investment Executive | November 18, 2013
- "Figuring out your clients' needs and wants"
By Ellen Bessner | Published by Investment Executive | October 21, 2013
- "Protect - and grow - your business at the same time"
By Ellen Bessner | Published by Investment Executive | September 23, 2013