ESOP Series Module 7: Legal & Regulatory Considerations

Overview

At the end of this module, participants will be able to ensure adherence to compliance and legal obligations concerning employee ownership, navigate the documentation and regulatory filings specific to different employee ownership forms, and establish mechanisms for maintaining ongoing legal compliance in employee-owned businesses. This course is offered in partnership with Project Equity.

Highlights

• Documentation & Forms
• Filing Procedures
• Ongoing Compliance

Designed For

Financial professionals who work with small business owners and advisors who lead or work on an owner’s team of business succession planning professionals.

Objectives

• Compliance and legal requirements for employee ownership
• Documentation and regulatory filings for different employee ownership forms
• Ensuring ongoing legal compliance for employee-owned businesses