Avoiding the Danger Zone: Legal Essentials for Financial Advisors

Today’s episode highlights include:

• Considerations in legal representation when making a career move or planning an M&A transaction.
• Critical safeguards for buyers and sellers to secure M&A contracts and ensure a smooth transition.
• AI in finance—opportunities and the risks associated with fraud, client confidentiality, and regulatory compliance.
• Client communication and compliance pitfalls, with tips on maintaining accuracy and transparency in a digital-first world.

Frank and Matt provide a well-rounded perspective on staying vigilant about legal risks, managing client data, and protecting practice value. Listen in to learn practical insights that will help you safeguard your business, build trust with clients, and strengthen your career path. This episode is essential for advisors who want to stay ahead in an industry where the stakes—and potential legal challenges—are always high.

ATTORNEY ADVERTISING. THE CONTENT CONTAINED IN THIS PODCAST IS MEANT FOR INFORMATIONAL PURPOSES ONLY AND SHOULD NOT BE RELIED ON FOR ANY PURPOSE. NOTHING CONTAINED IN THIS EPISODE SHOULD BE CONSTRUED AS LEGAL, INVESTMENT, OR TAX ADVICE. LISTENING TO THIS EPISODE DOES NOT CREATE AN ATTORNEY-CLIENT RELATIONSHIP.