Employee Ownership Legal & Regulatory Considerations

FACULTY: Brett Heeger, Michael Pasahow

$59

1 hour CPE

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Flexible schedule

Any time, self-paced

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Navigating legal and regulatory requirements

Employee ownership deals require airtight compliance. This Certified Employee Ownership Advisor course helps you anticipate and navigate the legal and regulatory complexities that accompany ESOPs, cooperatives, and EOTs.

From documentation to filings to ongoing compliance, you’ll understand the frameworks that ensure smooth transitions and protect clients from costly missteps. For advisors, mastering these legal checkpoints is essential to safeguarding client trust and deal success.

Learning objectives

By the end of this course, participants will be able to:

Ensure adherence to compliance and legal obligations concerning employee ownership
Navigate documentation and regulatory filings specific to different employee ownership forms
Establish mechanisms for maintaining ongoing legal compliance in employee-owned businesses

Faculty

Our faculty aren’t just educators—they’re leaders in the field, bringing decades of hands-on experience to help advisors translate knowledge into impact.

Brett Heeger

Founding Partner, Gundzik Gundzik Heeger

Corporate and securities attorney focused on community wealth building and social-impact minded businesses, and leader of a law firm operating as a worker-owned cooperative. Strong experience leveraging legal tools to support client goals: from profit and growth to impact and inclusion. Regular presenter and writer on employee ownership matters for both legal and lay audiences.

Michael Pasahow

Counsel, Faegre Drinker

I am a trusted adviser to corporate and fiduciary clients, focusing on employee benefits law and employee stock ownership plan (ESOP) transactions. In particular, ownership transitions and fostering successful employee-owned businesses. I also leverage my decade-plus experience with ESOP administration to assist my clients with qualified plan compliance and correction matters as well as ESOP sustainability.

Continuing education

Upon successful completion of the course, participants will receive 1 hour CPE.

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Project Equity is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its web site: www.nasbaregistry.org.

Legal & Regulatory Considerations has been approved for 1 hour(s) of continuing education (CE) credits by the Exit Planning Institute (EPI).

Legal & Regulatory Considerations has been accepted by the Certified Financial Planner Board for continuing education credit. Upon successful completion of the program, 1 CE credit(s) will be granted by CFP Board.

Legal & Regulatory Considerations

$59

1 hour CPE

Flexible schedule

Get certified