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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

Author Guest Columnist Les Abromovitz March 26, 2012 at 5:50 AM
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Les Abromovitz: The most significant compliance risks arise from structured programs that reward clients for each and every referral.

RIA Compliance



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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