21 April 2020
By Ellen BessnerThe goal of Ellen’s Positive Notes is to lighten the mood during these difficult times of Covid-19 and to provide you with tools to help you. If you have colleagues in the financial services industry, who do not subscribe to my e-alerts, please pass this along and ask them to email me so we can add them to our list: (ebessner@babinbessnerspry.com) or Michelle (mdaley@babinbessnerspry.com). I invite any feedback or questions or comments or other ideas you have for this new weekly column. Here it is… and stay safe – please!
14 April 2020
By Ellen BessnerThe goal of Ellen’s Positive Notes is to lighten the mood during these difficult times of Covid-19 and to provide you with tools to help you. If you have colleagues in the financial services industry, who do not subscribe to my e-alerts, please pass this along and ask them to email me so we can add them to our list: (ebessner@babinbessnerspry.com) or Michelle (mdaley@babinbessnerspry.com). I invite any feedback or questions or comments or other ideas you have for this new weekly column. Here it is… and stay safe – please!
7 April 2020
By Ellen BessnerThe goal of Ellen’s Positive Notes is to lighten the mood during these difficult times of Covid-19 and to provide you with tools to help you. If you have colleagues in the financial services industry, who do not subscribe to my e-alerts, please pass this along and ask them to email me so we can add them to our list: (ebessner@babinbessnerspry.com) or Michelle (mdaley@babinbessnerspry.com). I invite any feedback or questions or comments or other ideas you have for this new weekly column. Here it is… and stay safe – please!
31 March 2020
By Ellen BessnerThe goal of Ellen’s Positive Notes is to lighten the mood during these difficult times of Covid-19 and to provide you with tools to help you. If you have colleagues in the financial services industry, who do not subscribe to my e-alerts, please pass this along and ask them to email me so we can add them to our list: (ebessner@babinbessnerspry.com) or Michelle (mdaley@babinbessnerspry.com). I invite any feedback or questions or comments or other ideas you have for this new weekly column. Here it is… and stay safe – please!
23 March 2020
By Ellen BessnerThis is the second instalment of Ellen’s Positive Notes, a weekly column I designed to lighten the mood during these difficult times and to provide you with tools to help you. If you have colleagues who do not subscribe to my e-alerts please pass this along and ask them to email me (ebessner@babinbessnerspry.com) or Michelle (mdaley@babinbessnerspry.com).
I invite any feedback or questions or comments or other ideas you have for this new weekly column. Here it is… and stay safe – please!
17 March 2020
By Ellen BessnerThis is the first instalment of Ellen’s Positive Notes, a weekly column I designed to lighten the mood during these difficult times and to provide you with tools to help you. If you have colleagues who do not subscribe to my e-alerts please pass this along and ask them to email me (ebessner@babinbessnerspry.com) or Michelle (mdaley@babinbessnerspry.com).
I invite any feedback or questions or comments or other ideas you have for this new weekly column. Here it is… and stay safe – please!
10 January 2020
By Ellen BessnerYou just received an email from compliance that says you are overdue updating 147 know-your-client (KYC) forms. It is one month before the RRSP deadline and you have several more clients to contact. You are below target, but if you close on all outstanding RRSPs for your clients, you might hit your target. Your priority is getting new money in the door, so if the KYC forms are not updated until after the RRSP deadline, big deal!
1 November 2019
By Ellen BessnerI recently spoke at a conference on the issue of succession planning and was asked how to ensure your business is sufficiently compliant to attract a better price.
4 October 2019
By Michael Bookman, Ellen BessnerAdvisors and portfolio managers may be tired of hearing about how they need to improve on their know-your-client (KYC) and suitability obligations, but the Ontario Securities Commission’s (OSC) annual summary report shows a high percentage of reported deficiencies in the compliance systems maintained by dealers. This means advisors and portfolio managers are at risk.
6 September 2019
By Ellen BessnerFrom the first meeting with a prospect, an advisor needs to gauge their expectations, not just in respect of returns on investments, but their personal goals. This can get complicated when you meet with couples.