Tax & Regulatory Issues Resources
Controlling What You Can, Learning from What You Can't Controlling What You Can, Learning from What You Can't

In times of uncertainty, it is always wise to focus on what you can directly control. Whether we look at politics, markets, regulation, news, or the state of the industry, there have been (and always will be) many events outside of your control as a business owner. How do you deal with this constant noise? Recognize it for what it is and focus on the things you can control with direct action.

Business Growth  |  Compensation  |  Continuity  |  Entity & Business Structure 

Bates4.png Compliance Audits & Practice Value
with guest David Birnbaum, JD of Bates Group

Join Marcus and special guest David Birnbaum, JD, of Bates Group as they discuss the impact of compliance on business value, as well as the importance of internal compliance audits to stay ahead of any regulatory issues and correction periods that come with them.

Tax & Regulatory Issues   |   Valuation & Benchmarking  |  Acquisition 

Maintaining Compliance and Continuity During COVID [Webinar]
EMS Exclusive Resource

Member-exclusive webinar in partnership with Ellen Bruno of Compliance Advisor Professionals focused on important considerations for protecting your business. This "new normal" of business operations does not excuse non-compliance. Now, maybe more than ever, staying vigilant to protect your business and your clients' assets and information should be paramount. Aired October 7, 2020.

Continuity Planning

Tax Treatment of an Asset Sale Tax Treatment of an Asset Sale

Choosing between asset or stock sale usually comes down to whether the transaction is external or internal. An asset sale is appropriate for an external transition. Each asset is treated differently when it comes to taxation, so knowing what to expect from your sale will save you from any surprises as the deal progresses.

External Sale  |   Tax & Regulatory Issues

Grants of Stock to Key Employees
EMS Exclusive Resource

It may be tempting to think that simply granting stock or ownership to a key employee would be an easy way to achieve succession. But the tax implications and potential issues this causes should be carefully considered.

Internal Succession  |   Compensation   |   Tax & Regulatory Issues

Bates3 Thumbnail landing page.png Roundtable Talk - The Art of Compliance
with guest David Birnbaum, JD of Bates Group

In this second of our Roundtable Talks series with Bates Group, David Birnbaum, JD, talks about the importance of getting to know a business and its people in order to effectively help them keep up with compliance.

Tax & Regulatory Issues   |   Business Growth

Tax Basics for Small Businesses
EMS Exclusive Resource

Taxes are complicated. They're even more so for small business owners. This white paper addresses - in detail - some basic considerations when deciding how to tackle your business' taxes, and how you can reduce the headache that comes along with them.

Tax & Regulatory Issues   |   Business Growth

Bates1 Thumbnail landing page.png Roundtable Talk - Compliance & Acquisition
with guest David Birnbaum, JD of Bates Group

Monitoring compliance and keeping up with regulations is important for the operation of any financial services business. In this first of our special series with Bates Group, Join Marcus Hagood and special guest David Birnbaum, JD to discuss how compliance impacts an acquisition and the impact of current events on compliance and the industry.

Tax & Regulatory Issues   |   Acquisition  |  External Sale

Bates4.pngRoundtable Talk - Benefits of Proper Entity Structure
EMS Exclusive Resource

FPT Experts Ericka Langone, JD and Eric Fettig discuss the benefits of proper entity, including liability protections, governance for business leadership and operations, structure and value for future ownership, and tax treatments that make sense for your specific enterprise.

Entity & Business Structure   |   Next Gen  |  Tax & Regulatory Issues

The Built-In Gains Tax
Succession Management Exclusive Resource

As you choose the entity structure that’s right for your unique business and move to incorporate properly, one big consideration are the potential taxes that could apply when moving from a C-Corp to an S-Corp. In certain circumstances assets held by the C-Corp are subject to the Built-In Gains (BIG) Tax. This resource explores these circumstances and how to plan for them and their impact on your long-term plans.

Tax & Regulatory Issues  |   Entity & Business Structure

SettingUpAnEntity - RTTNavigating Income & Entities with a FINRA Focus
EMS Exclusive Resource

In this exclusive Roundtable Talk, FPT experts discuss this regulated flow of revenue from a Broker Dealer as well as how to properly sweep it into the entity. They cover appropriate documentation between advisor and entity as well as avoiding common troublesome situations when it comes to BD revenue.

Tax & Regulatory Issues   |   Entity & Business Structure 

Components of a Deal Components of a Deal

Whether you are buying or selling, it is important to understand what is being bought and sold and what expectations both the buyer and seller have of each other. Absent these details, it is difficult, if not impossible, to determine if an offer is fair. In this article we discuss the concept of shared risk / shared reward, how deal terms affect overall purchase price of a business, financing options, tax treatments, and common deal structures.

Deal Structure & Documentation   |   Acquisition   |   Tax & Regulatory Issues

Setting Up An Entity : Elections & TimelinesSettingUpAnEntity - RTT

In this Roundtable Talk, FPT experts Ericka Langone, JD, and Eric Fettig discuss the details of setting up (or restructuring) your entity to suit your business' unique situation, including: documentation, filing timelines, and key players in the process. They highlight the importance of proper entity elections to support your overall short-term and long-term business goals.  

Entity & Business Structure  |   Tax & Regulatory Issues 

Real Estate and Lease Issues for Advisors
EMS Exclusive Resource

Most small businesses need to lease space. Working from home may be an option, but it can be difficult to expand beyond a one-person practice without a more spacious, professional setting. When choosing the right office space there are many things to think about including size, buying vs. renting, expansion options, and expense. Take the time to find the right place for the work that you od.

Tax & Regulatory Issues

SEC Proposed Rule - Business Continuity and Transition Plans SEC Proposed Rule & Proposed Amendments - Business Continuity & Transition Plans

This expert opinion explores the reasoning behind and implications of SEC Proposed Rule 206(4)-4 and Proposed Amendment to Rule 204-2 concerning Business Continuity and Transition Plans; plus an overview of the new regulations expected under the new rule.

Continuity Planning  |  Tax & Regulatory Issues

RT3 DOL.png Roundtable Talk - DOL Rule & Regulatory Issues
EMS Exclusive Resource

In this unscripted video FP Transitions' Douglas Kreft and Marcus Hagood focus on the impact and evolution of the financial services industry given various regulatory developments over the past year. 

Tax & Regulatory Issues   |   Continuity Planning   |   Roundtable Talks