Financial Advisor Compensation Programs – Legal Consideration For In-House Counsel

As financial advisor compensation programs continue to evolve, legal and compliance teams face growing complexity in structuring, administering, and defending these arrangements.

Join our lawyers for a three-part webinar series focusing on current trends, risks, and legal considerations surrounding FA compensation and benefits programs, tailored for in-house legal and compliance professionals.

For more information, please contact Destiny Henderson or Jonathan Chang.

CLE Credit: CLE credit in CA, FL, IL, NY*, PA, TX, and VA is currently pending approval. Credit in CT and NJ is pending approval (via reciprocity). CLE credit is not available for the viewing of recorded sessions.

*This program qualifies for Newly Admitted Attorneys.

Those seeking CLE credit in any other state may be provided with a General Certificate of Attendance and may apply independently.

Upcoming Events

09/24/2025 - Structuring Loan Bonus Arrangements
We’ll cover key issues related to upfront and back-end loan/bonus structures, including tax issues, enforceability, and best practices.
11/05/2025 - Succession Planning & Transition Programs
Explore the current issues and challenges with advisor succession programs and the contractual and compliance safeguards needed to support succession programs, client retention, and potential regulatory review.
01/07/2026 - Expense Reimbursement & Support Staff Funding
Topics will include best practices for firm-sponsored expense reimbursement programs, avoiding tax and employment issues with programs enabling FAs to allocate compensation toward support staff compensation, and addressing litigation risks with expense reimbursement programs.