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Posted by FP Transitions on March 26, 2024
Important Legal Updates 2024: What They Mean for You & Your Business
Federal, state, and local laws are constantly shifting and changing. Which is why it’s important to have consistent communication with your legal counsel so that you are made aware of any new and changing regulations that may affect your business or...
Posted by FP Transitions on January 12, 2023
(Tech) Stacked for Growth
Growth can be enabled – or hindered – by your technology. And not only that, but it can also seriously erode your profit margin if it costs you clients, requires constant fixing, or slows down cross-department collaboration. But here’s the thing:...
Posted by FP Transitions on March 26, 2020
News Roundup: Business Preparedness and Compliance
The last thing any business owner and professional needs is to deal with more ambiguity and uncertainty than the global situation has already dealt us. In our highly regulated industry, many advisors are asking questions about how to keep their...
Posted by FP Transitions on October 17, 2017
5 Compliance Mistakes You're Probably Making
Posted by FP Transitions on September 7, 2017
Compliance, Acquisition, & Value : A Special Roundtable Talk Series with Bates Group
Compliance is a “have to” in the financial services industry. Advisory firms are required to have a compliance officer or a designated third-party compliance administrator, either of which must meet specific qualifications. Doing only as much as is...