When starting and then running your own practice, it is essential that you seek legal advice to ensure everything is done correctly. Having an attorney you can comfortably rely on allows you successfully run your practice, whilst also ensuring it is compliant with the various legal obligations that apply. Richard Chen, seasoned attorney, entrepreneur and public speaker, joins Matthew to share his advice for financial advisors seeking to protect themselves and their businesses.
Listen in as Rich explains the importance of documenting everything you do so there are never any questions about what has or has not been done. You will learn the benefit of taking preventative measures, why it is essential that you have multi-factor authentication on every device you use and the importance of drafting or negotiating good agreements with the people that you work with upfront.