Advisor at Risk is a comprehensive resource for taking control of risk and securing good business. It is a best practices must-read for anyone in the investment and resource 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 20 years of first-hand 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.
Who Should Read This Book
Licensed and unlicensed individuals working in investment or insurance industries
Licensed and unlicensed Assistants supporting Advisors or Agents