This is the seventh module of the Certified Employee Ownership Advisor certificate program. At the end of this module, participants will be able to ensure adherence to compliance and legal obligations concerning employee ownership, navigate the documentation and regulatory filings specific to different employee ownership forms, and establish mechanisms for maintaining ongoing legal compliance in employee-owned businesses.

• Compliance and legal requirements for employee ownership
• Documentation and regulatory filings for different employee ownership forms
• Ensuring ongoing legal compliance for employee-owned businesses

Faculty

Michael Pasahow, Counsel, Faegre Drinker
Michael is 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. He also leverage his decade-plus experience with ESOP administration to assist his clients with qualified plan compliance and correction matters as well as ESOP sustainability.

Brett Heeger, Founding Partner, Gundzik Gundzik Heeger LLP
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.

Continuing education

Upon successful completion of the course, participants will receive 1.0 hours of CFP Board and 1.0 hours of NASBA CPE.