Succession Planning for Investment Advisers

Succession planning is important to your compliance program and your business. This webinar will cover Montana’s regulatory requirements, common deficiencies seen in exams, and tips for developing a compliant Succession Plan. We will also address the importance of a Succession Plan to your business and your clients, including the types of data and information you can use to keep your Succession Plan in shape.

Featuring guest speaker:

Lisa Roth
President, Monahan & Roth, LLC

Lisa Roth is an executive with 3 decades of leadership and entrepreneurial experience in the financial services industry. Lisa is the president of Monahan & Roth, LLC, a professional consulting firm offering compliance guidance to brokerage firms, investment advisers and related financial services firms.