Articles written by Guest Columnist Les Abromovitz


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SEC may tackle RIAs claiming to have 'skin in the game'

Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund

December 28, 2012 — 2:30 AM UTC

Older investors' complaints deserve -- and receive -- special scrutiny from regulators

Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions

July 17, 2012 — 3:53 PM UTC

Beware: RIA privacy breaches aren’t always high-tech

Bellowing that reaches the waiting room is one example of potential confidentiality-breaching behavior

June 20, 2012 — 3:48 AM UTC

Where RIAs should draw the line in rewarding clients for referrals

By expressing your gratitude in a tangible form, you run the risk of turning your client into a solicitor

March 26, 2012 — 5:50 AM UTC

Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts

CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response

February 22, 2012 — 3:52 AM UTC

Think about compliance before sending or posting those articles you read

A new SEC alert gives updated guidance regarding the pitfalls of using social media

January 23, 2012 — 4:40 PM UTC

Recent SEC enforcement actions make annual policies and procedures exams even more important

Sprucing up your compliance manual early and often can prevent the SEC leaving coal in your Christmas stocking

January 5, 2012 — 4:59 AM UTC

Why RIA videos are especially fraught with regulatory pitfalls

The productions are expensive so check with the CCO before rolling the cameras

December 5, 2011 — 4:21 AM UTC
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