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Succession Planning for Advisory Firm
sponsored by Advent Software, Inc
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Transitioning full or partial ownership and day-to-day management of your firm to others can take many forms. No matter your scenario, a merger or sale means that your firm has several regulatory requirements to fulfill. Your compliance efforts should ensure that your firm:
- Is duly registered with the appropriate body (state or SEC)
- Has never been convicted of a violation of the Advisers Act
- Is current with all license examinations and certifications
- Has no conflicts of interest or impediments
- And more
Inside this white paper, learn how to meet these compliance requirements and ensure a smooth transition when planning for the succession of your advisory firm.
(THIS RESOURCE IS NO LONGER AVAILABLE.)
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Available Resources from Advent Software, Inc
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