Ellen BessnerEllen Bessner is a litigation partner whose practice focuses on acting for corporations and individuals in commercial litigation, regulatory defence, professional liability, securities class action proceedings, and employment disputes. She has developed a special niche representing public issuers, investment dealers, mutual fund dealers, Portfolio Managers, compliance officers, branch managers/supervisors, and advisors in Ontario courts of all levels and at various regulatory tribunals, including FSCO, MFDA, IIROC and OSC. She has also developed an expertise advising directors and senior officers in respect of company and personal risk. Ellen’s well-regarded book, Advisor at Risk, a Roadmap to Protecting Your Business, available at Chapters/Indigo, is considered a leading risk-reduction tool in the area. Ellen has developed comprehensive programs to instruct advisors/agents/traders and their supervisors in reducing litigation and regulatory risk, presenting on liability, ethics and compliance. Her courses qualify for continuing education credits. She is a frequent speaker at industry conferences, writes for national, business and industry press, has appeared in television media interviews and is quoted in numerous publications on issues related to litigation, regulatory and employment matters. Most recently, she chaired and presented at the Securities Litigation (Investigation - Enforcement - Litigation - Dispute Resolution) Conference presented by Insight Information. Ellen was appointed to the discipline board for Certified Management Accountants. TO PURCHASE: Advisor at Risk is available at Chapters/Indigo or for corporate volume discount pricing contact Ellen Bessner, Author or Penny Shore, Publisher. Ellen's experience includes:
Dealer Presentations Ellen has provided presentations to bank owned and independent dealers, insurance companies, MGAs and Brokers across Canada from the 1990s to present on issues of compliance. She has attended every major city across Canada to teach advisors and agents how to manage their businesses to protect themselves and minimize the risk of litigation and regulatory enforcement matters. More recently, she is providing training that complements her best-selling book entitled Advisor at Risk, A Roadmap to Protecting Your Business. She has also developed and provided online training. Below is a list of some of the titles of her programs:
Insider Trading – ASC’s Practical Approach to “Material Fact” Insider Trading and Crisis Management (CBB Corporate Counsel Insights Video Series) Justicia Guide to Business Development for Women Lawyers Manage Compliance Risk While Bringing Clients Along Ellen Bessner Featured in Four-Part Podcast on Transparency for Investment Executive: Part Four Questionable Ruling Certifies Class Action Against Investment Advisors – Hoping for Appeal The Court of Appeal Enforces Limitation Period for Secondary Market Securities Class Actions The Costly Consequences of Inadequate Supervision “Advisors at Risk: How to Protect Your Business,” On The Risk Magazine (September 2010) Different Approaches to Granting Leave to Securities-Holders for Bringing Actions Against Issuers Cassels Brock Partner Co-Authors The TASK - The Trusted Advisor's Survival Kit Advisor at Risk: A Roadmap to Protecting Your Business by Ellen Bessner Take Special Care with Clients this RRSP Season "Why RRSP Season is Different This Year," National Post (January 2009) "Winning the Credibility War," National Post (December 2008) "Diligence Helps Combat Fiscal Fraud," National Post (December 2007) "Justice Relies on Timelines," National Post (November 2007) "Know Your Clients at Every Stage," National Post (November 2008) "Helping Clients Through the Crunch," National Post (October 2008) "Coping with Senior Clients' Risk Tolerance," National Post (August 2008) "Even Senior Clients Deserve Attention," National Post (July 2007) "Landmark Verdict on Trading," National Post (May 2008) "Know Your Client Rule has No Age," National Post (July 2007) "Return of the Invisible Client," National Post (April 2007) "The Dangerous Invisible Client Strikes Again," National Post (April 2007) "Brace Yourself for Tougher Client Scrutiny," National Post (March 2007) "Cautionary Tale for Bank-Owned Dealers," National Post (January 2007) "Let Fear Motivate, Not Greed," National Post (January 2007) "It's Not Like Selling a New Suit," National Post (December 2006) "Bend the Rules, Wreck Your Reputation," National Post (November 2006) "Rogue Clients and Some Red Flags," National Post (September 2006) "Culture of Compliance," Advisor's Edge (July 2006) "Arm Yourself Against Five Industry Myths," National Post (June 2006) "Bad Behaviour," Advisor's Edge (May 2006) "Bleaching Out Breach," Advisor's Edge (March 2006) "Walking Papers," Advisor's Edge (January 2006) "Staying Clear of Conflict," Advisor's Edge (May 2005) "Do Not Go Quietly," Advisor's Edge (March 2005) "When Trouble Walks In," Advisor's Edge (January 2005) "Superior Signage," Advisor's Edge (December 2004) "Limited Trading Authorization," Advisor's Edge (November 2004) "KYC In One Form or Another," Advisor's Edge (October 2004) "Preserving Professionalism," Advisor's Edge (August 2004) "Take Your Time," Advisor's Edge (June 2004) "Advisor: Friend or Foe?," Advisor's Edge (April 2004) "Preparing Your Defence: An Effective Paper Trail Follows the Five Cs," Advisor's Edge (March 2004) "A Planner's Obligation," Advisor's Edge (January 2004) "Reasonable Standard," Advisor's Edge (November 2003) "Rebuilding Confidence," Advisor's Edge (September 2003) "The Paper Trail," Advisor's Edge (August 2003) "Credibility Victory," Advisor's Edge (May 2003) "Red Flags," Advisor's Edge (April 2003) "Will You be Believed by the Judge?," Advisor's Edge (February 2003) "The Sky is the Limit," Advisor's Edge (October 2002) "Complaint Evasion," Advisor's Edge (August 2002) "Why Advisors Should be Protected," Investment Executive (June 2002) The Golden Rule: Fulfilling Your "Know Your Clients" Obligations Means Getting Beyond the KYC Forms "IDA Leaves Brokers Confused, Uninformed," Investment Executive (November 2001) "How Liable is the Broker," Investment Executive (July 2000)
Ellen Bessner Participates in Canadian Compliance Professionals Conference Ellen Bessner Presents "Advisor at Risk - A Roadmap to Protecting Your Business" Seminar - “Insider Trading” (September 14, 2011) ACCP – “KYC and Prove It” (May 2, 2011) Ellen Bessner Participates in the CLS Annual Conference (December 2, 2010) Ellen Bessner Speaks at IPC National Conference (September 14, 2010) Advisor at Risk - Presentation at the 2010 Advocis Ontario School Implementing a Fiduciary Standard and Beyond The Latest Word on Securities Enforcement Meeting your Compliance Obligations for Advisors: How can you prove delivery? The Buying & Selling of Financial Advisory Practices, 4th Edition: The New Landscape NSCP, Philadelphia, PA - "Branch Managers and Their Duty to Supervise" (October 20, 2008) IIAC - "Navigating the Road Ahead: Building Paths for Success" (June 22, 2008) Mindpath - "Compliance Issues When Selling or Buying a Business" (April 28, 2008) Manitoba Securities Commission - "Rogue Clients and Future Legal Challenges" (October 23, 2007) Ontario Securities Commission - "IC/PMs and Compliance" (September 25, 2006) |






Ellen Bessner
Toronto





