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Legal Perspective Series Episode 2 - with Brian Neville, Founding Partner - Lax & Neville
Topics of discussion include:
*protocol versus non-protocol firms and the basic mistakes advisors make when leaving a non-protocol firm.
*why it is important for transitioning advisors to be informed of their receiving firms' rules for client information and the imperative of remaining consistent within that paradigm.
*best practices for handling client contact information within the digital space.
*what advisors can and cannot say to clients prior to making a move to a new firm partner.
*why seeking your own legal counsel is a must for every transitioning advisor.
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