Ellen Bessner Authors Article on Going Beyond the Know Your Customer Form
In this article, Ellen discusses the requirement advisers have to ensure a client understands any recommended product. This, says Ellen, can be “more complex than most advisers appreciate.”
To assist advisers, Ellen outlines what must be done before recommending a product to a client and provides suggestions for how an adviser can best accomplish this obligation.
To read the full article, please click here (article originally published by Thomson Reuters, August 2012).