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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

Wednesday, February 22, 2012 – 3:52 AM by Guest Columnist Les Abromovitz
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Les Abromovitz: The SEC and state securities regulators want to prove they are aggressively overseeing RIAs.

Mentioned in this article:

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

Aurora Compliance Solutions
RIA Set-up Firm
Top Executive: Edward Romanowsky




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