Ellen Bessner, partner at Babin Bessner Spry LLP speaks with Dan Richards, CEO of Client Insights, on why advisors can be sued in retirement, and explains the steps you need to take to ensure you are not at risk. You can watch the interview HERE to learn more about having good files and ERP insurance. To find out more about IFB’s E&O program and ERP insurance, click here!
The Investment Funds Institute of Canada (IFIC) has launched a guide on preparing CRM2 reports for mutual fund dealers. This guide includes information on achieving regulatory goals while maintaining the advisor-investor relationship. To find out more information on CRM2 and to view this document, log into the members section of our website.