Bates News,Practice Alerts,Industry News - 08-09-17
Bates Group’s David Birnbaum on Compliance and Acquisition for FP Transitions’ Roundtable
Bates group is pleased to announce the release of this first of three special Roundtable Talks featuring FP Transitions’ Marcus Hagood’s one-on-one interview with Bates Managing Director David Birnbaum to discuss the importance of compliance when it comes to acquisitions, including:
- The value of a thorough compliance review to ensure a smooth and successful acquisition;
- Detecting and evaluating potential regulatory obstacles that could derail a transaction;
- And how the ever-looming DOL Rule – along with the new US administration – might provide additional challenges and considerations.
In forthcoming Roundtable Talks, David will discuss the necessity of performing a thorough compliance audit as part of business growth or in preparation for a sale. Plus, David and Marcus explore how to determine whether your team is devoting enough attention to protecting the business, and how to make managing both compliance AND the business easier.
Video below courtesy of FP Transitions
Disclaimer: The views and opinions expressed in the video are those of the subjects herein.
FP Transitions is the nation’s leading provider of equity management, valuation and succession planning services for financial advisors. The team of consultants includes financial analysts, legal professionals, and business coaches, working together to provide comprehensive solutions for financial professionals. Based in Portland, Oregon, FP Transitions operates the largest fully-supported open market for buying and selling financial service practices in the U.S.
Bates Compliance Solutions (BCS), a division of Bates Group LLC, is made up of experienced former regulators and compliance professionals, including CAMS-certified individuals who provide world‐class Compliance and Regulatory services and support for new and existing Registered Investment Advisers (RIAs) and hybrid firms. Our comprehensive set of RIA services is tailored to the needs and requirements of each firm, at prices that are more than competitive. BCS services include a myriad of front office, governance, compliance, risk, and internal audit services. The BCS team can tailor an engagement for a discrete need, or as continuous, ongoing advice and support. Visit BCS online for a complete listing of our services.