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PROGRAM SEGMENT THREE

Facing Senior Client Issues, head-on

Video-taped interview with
Ellen Bessner, Lawyer

Babin Bessner Spry LLP

Ellen Bessner joined and formed Babin Bessner Spry LLP in 2014 following 25 years of practice on Bay Street with prominent Canadian law firms. She is a leader in securities defense of advisors and dealers in both regulatory proceedings at MFDA, FSCO, IIROC, OSC and in court, when sued on issues of suitability and employment law. Ellen is the author of the bestselling book Advisor at Risk: a roadmap to protecting your business and has written the sequel Communication Risk: how to bridge the client-advisor gap to protect and grow your business. A sought after speaker, Ellen has addressed Canadian financial services professionals all across Canada including many Advocis chapters. Because of her expertise advising on issues concerning senior clients, Ellen was appointed to the OSC’s Seniors Expert Advisory Committee from 2016-2018.

LEARNING TOPIC

To explore advisor responsibilities in serving today’s senior clients, while protecting their practice from liability.

Interview will include:

What advisors need to do, when faced with:

  • Clients exhibiting diminished cognitive capacity to manage their financial affairs
  • POAs who do not appear to be acting in the client’s best interest
  • Clients who believe joint accounts are a good idea, but are they?
  • The identification of fraud through conversations with senior clients

DISCUSSION FORMAT

Discussion Activity: Pitfalls of POAs & Joint Accounts

Learning Objective: To identify potential areas of risk for the client and the advisor in two separate scenarios; one involving Continuing Power of Attorney (POA) for Property and the other involving a joint account request.

ADVOCIS®, THE INSTITUTE FOR ADVANCED FINANCIAL EDUCATION™ (THE INSTITUTE™), CLU®, CHS®, CH.F.C.® AND APA® ARE TRADEMARKS OF THE FINANCIAL ADVISORS ASSOCIATION OF CANADA (TFAAC).