Communication Risk: How to Bridge the Client-Advisor Gap to Protect and Grow Your Business

Communication Risk: How to Bridge the Client-Advisor Gap to Protect and Grow Your Business

by Ellen Bessner
Communication Risk: How to Bridge the Client-Advisor Gap to Protect and Grow Your Business

Communication Risk: How to Bridge the Client-Advisor Gap to Protect and Grow Your Business

by Ellen Bessner


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Discover how to build successful, long-lasting, and mutually beneficial client-advisor relationships to protect and benefit your business!

With Advisor at Risk, Ellen Bessner gave the investment industry a complete resource for controlling risk. Now in the sequel, Communication Risk, the best-selling author and expert litigation lawyer takes on one of the most fraught issues facing financial professionals today: the dangerous communication gap between advisors and their clients.

Over her 25+ years in law, Ellen has seen too many distressed professionals spend countless hours fighting clients in court. The disputes vary, but the root cause is always the same: the failure of both parties to understand each other. Communication Riskhelps you bridge this critical gap, and avoid the stress, time, and reputational damage of costly court battles and defending your license and reputation.

Using insight, humour, and fascinating real-world cases, Bessner lays out the dangers, reveals the traps, and offers simple directions for building successful relationships with your clients.

Includes the companion Communication Risk Investor’s Guide to help your clients communicate more effectively with you.

“Bang on for anyone in a financial advisory role... this is a must-read.”—Jordy W. Chilcott, Head of Investment Distribution, Sun Life Global Investments

Who Should Read This Book?

  • Investment advisors

  • Financial advisors

  • Financial planners

  • Dealer representatives

  • Supervisors

  • Portfolio managers

  • Insurance professionals

  • And anyone serving clients in the financial industry from rookies to experienced professionals

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Product Details

ISBN-13: 9781775383703
Publisher: Babin Bessner Spry LLP
Publication date: 09/13/2018
Pages: 282
Product dimensions: 6.00(w) x 9.00(h) x 0.64(d)

About the Author

Ellen Bessner is an experienced, tough-minded and common-sense commercial litigator with over 25 years of practice at prominent Canadian firms, and now with Babin Bessner Spry LLP. Ellen has acted as counsel before Ontario courts of all levels, as well as at many arbitrations and regulatory proceedings, including before the IIROC, MFDA, OSC, and FSCO. Ellen is a leader in commercial and securities litigation, employment litigation, professional negligence, class actions, regulatory matters, insurance defense, and directors' and officers' liability, and has regularly been retained to advise boards of directors and senior officers on issues of compliance.

At Babin Bessner Spry LLP, Ellen provides her popular and effective work in developing and presenting training and education programs for officers and directors, supervisors, and regulated professionals (financial and investment advisors, portfolio managers, insurance brokers and agents, supervisors and branch managers, and planners). The goal of these programs is to help reduce litigation and regulatory risk, and includes education and training on a range of liability, ethics and compliance issues.

Ellen was appointed to the OSC's Seniors Expert Advisory Committee and was co-author of the paper "Current Practices for Risk Profiling in Canada and Review of Global Best Practices for the OSC's Investor Advisory Panel." You can learn more about her at

Table of Contents


1 The Communication Gap

2 Resolving the Communication Gap

3 Know Yourself

4 Know Your Client

5 Advisor and Client—Know Your Product

6 Client Risk

7 Financial Planning

8 Women Clients

9 Senior Clients

10 Preparing for the Complaint

11 The Investigation


Guide for Clients

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