Compliance Concerns for Small Advisers including Merger and Succession Planning
1:00 PM – 2:15 PM
Friday, October 12
How often have you read SEC releases or sat through compliance presentations and thought, “That’s OK for large firms, but what about a small shop like mine?” This session is focused entirely on meeting the unique challenges faced by small advisers. We will also help small advisers understand the steps needed to successfully acquire or merge with a new firm or prepare to sell your firm or leave it to others.
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