News, Vision & Voice for the Advisory Community


SEC’s heightened interest in the older set means advisors should pay heed

Questions of diminished capacity, appropriate investing strategy apply

Author Les Abromovitz, Guest Columnist February 2, 2010 at 5:13 AM
no description available
Les Abromovitz: Regulators are very wary of advertising and marketing efforts aimed at senior investors, including the so-called free-lunch seminars.



February 2, 2010 — 10:08 PM

Les, I agree with what you say about the need for policies; that is, that policies aren’t for the 99.99% but they’re for the 00.01%. And as for “robust” – yes, even the best of policies need to be reviewed…and occasionally updated…to ensure their continuing applicability and effectiveness. Most of all, continual monitoring, measurement, and analysis help keep policies effective. Indeed, it isn’t an ideal world.

Thanks for the sage advice.

Related Moves

November 18, 2022 at 2:56 AM

Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING

RIABiz Directory sponsored by:

Directory Sponsor Logo