Ellen Bessner's Publications

For over two decades Ellen has presented on issues of law and compliance to a range of clients in every major city across Canada. Her training programs are designed to teach advisors, agents, and dealers how to manage their businesses in order to better protect themselves and minimize the risk of litigation and regulatory enforcement matters. Ellen also currently delivers training that complements her bestselling book, Advisor at Risk: A Roadmap to Protecting your Business. She has also developed and provided online training.

BOOKS

• Advisor at Risk : a roadmap to protecting your business
  By Ellen Bessner, 2008
  See Brochure 
• Communication Risk : how to bridge the client-advisor gap to protect and grow your business
  By Ellen Bessner, 2018
  See Brochure 

Please email ebessner@babinbessnerspry.com to order your copy. 

TOOLS

• Segmentation Leads to Big Payoff
  Workbook by Ellen Bessner
• When Clients Make Bad Decisions - A Review of the Risks to the Planner when Clients Make Bad Planning Decisions and How to Mitigate Those Risks
  Cheat Sheet by Ellen Bessner
• Communication Risk Investor's Guide - How to Get the Most from Your Registered Advisor
  By Ellen Bessner
• KYC Guide re: Client Sophistication/Financial Knowledge
• Succession/Transition Planning Cheat Sheet
  By Ellen Bessner, 2020
• Podcast - Working and Leading from Home
  Audio Interview by Ellen Bessner with Bruce Sellery of Newcom Media Inc., 2020
• How Advisors can stay out of trouble
  Audio Interview by Ellen Bessner, 2019

• Want to know how to protect yourself and grow your business, bridging the gap with clients?
  Podcast by Ellen Bessner and Advocis, 2019
• Listen to Ellen Bessner interview with Advocis and share with your clients how they can get the most from their advisor
  Podcast by Ellen Bessner and Advocis, 2019
• Seniors and Successors Cheat Sheet
  By Ellen Bessner, 2019
• Communication Risk Cheat Sheet
  By Ellen Bessner, 2019
• Suitability Risk Cheat Sheet (EN)
  Suitability Risk Cheat Sheet (FR)
  Ellen Bessner, 2020
• Know Your Client Cheat Sheet (EN)
  Know Your Client Cheat Sheet (FR)
  Ellen Bessner, 2020
• Know Your Product Cheat Sheet (EN)
  Know Your Product Cheat Sheet (FR)
  Ellen Bessner, 2020

PRESENTATIONS

Ellen has presented on a number of topics, including:

• COVID-19: Challenges & Opportunities
• Succession/Transition Planning
• The Future Success of Advisors with Personal and Business Continuity Plans
• The Balancing Act of Client Communications
• Grow Your Business by Protecting Yourself and Your Senior Clients
• Suitability: Turn Product Risk into Opportunity
• Demystifying Client Best Interest: Differentiate Your Business
• KYC Risk
• Continuity/Transition Planning: WHY?
• Advisor at Risk: ENTREPRENEURS Protect and Grow Your Business
• ALL IN: Communication Risk to Grow and Protect Your Business
• Advisor at Risk: A Roadmap to Protect Your Licence and Grow Your Business
• Communication Risk: How to Bridge the Client-Advisor Gap to Protect and Grow Your Business
• RISK: Seniors and Their Successors
• 10 Commandments of Managing Your Business to Protect Yourself
• Advisor at Risk: A Roadmap to Protecting your Business (IIROC, MFDA, FSCO, OSC)
• Advisor at Risk: How to Grow/Protect Your Business – Selling to Seniors!
• Advisor at Risk: War Stories
• Assistants: Absolutely Critical
• Branch Managers at Risk: A Roadmap to Protecting your Business
• Conversations with Clients
• Compliance Officers at Risk: A Guide to Limiting Liability
• Compliance Issues for Those Buying or Selling a Book of Business (Insurance/MFDA)
• Credibility Battle
• Demystifying Compliance with Secret Sauce
• Expert Advisor
• Future Regulation of Financial Advisors and Planners
• Grow and Protect Your Business: 10 Myths
• Grow Your Business and Protect: Women and Seniors
• How to Build a Compliant Business
• How to Manage Clients' Expectations and More
• How to Prepare for Future Challenges
• Limited Market Dealers and Compliance
• Live Law - Important Legal Considerations for In-House Counsel
• Paper Trail
• Portfolio Managers at Risk
• Products - What You Need to Know
• Professional Advisor
• Professional Obligations and Personal Liability
• Risks, Identify and Resolve
• Rogue Clients - Identify and Manage
• Seniors - How to Protect these Vulnerable Clients
• Seniors - This is a Different Market
• Teach Advisors to Protect Themselves
• Women: Opportunities, Challenges and Secret Sauce to Success?

Videos

• “Communication Risk for Clients - Clients learn how they can improve their relationship with their advisor”
  Interview of Ellen Bessner by Elizabeth Naumovski | Published by Finance is Personal | April 2020
• “Facing Senior Client Issues Head-on”
  Interview of Ellen Bessner by Frank Vanden Broek | Published by Advocis | April 2019
• Carrick Talks Money: Is there friction between you and your financial adviser?
  Interview of Ellen Bessner by Rob Carrick | Published by The Globe and Mail | November 15, 2017
• “Three Risk Tolerance Traps”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | February 27, 2017
• “Three KYC Traps”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | February 23, 2017
• “Prepare for the next mystery shop”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | February 14, 2017
• “Three shortcuts that can cause legal trouble”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | February 6, 2017
• “The risk of accepting dangerous prospects”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | January 30, 2017
• “Litigation lawyer: Know your client and prove it with notes”
  Ellen Bessner with Gavin Adamson at the TMX Broadcast Centre
• “Three tips when buying a book of business”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | July 25, 2016
• “The document you need on file for every client”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | July 18, 2016
• “How to respond to unhappy clients”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | July 11, 2016
• “Why retired advisors can be sued”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | June 30, 2016
• “The importance of meeting face to face”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | June 27, 2016
• “Power of attorney: What advisors need to know”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | June 20, 2016
• “Three things to consider when selling your book”
  Interview of Dan Richards, Ellen Bessner | Published by Investment Executive | June 13, 2016
• “Ch. 3 Transparent with Clients Mobile”
  Interview with Ellen Bessner by Dan Richards | September 21, 2015
• “Ch. 2 How Not to Get Sued Mobile 6”
  Interview with Ellen Bessner by Dan Richards | September 21, 2015
• “Ch. 1 Pre signed Forms”
  Interview with Ellen Bessner by Dan Richards | September 21, 2015
• “Compliance & The Exempt Market”
  Interview with Ellen Bessner by Jonathan Heymann | Business News Network | June 30, 2011