Dec 28, 2012
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
GC
Author
Guest Columnist Les Abromovitz
8 articles
Articles written by Guest Columnist Les Abromovitz
Jul 17, 2012
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
Jun 20, 2012
Beware: RIA privacy breaches aren’t always high-tech
Bellowing that reaches the waiting room is one example of potential confidentiality-breaching behavior
Mar 26, 2012
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
Feb 22, 2012
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
Jan 23, 2012
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
Jan 5, 2012
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
Dec 5, 2011
Why RIA videos are especially fraught with regulatory pitfalls
The productions are expensive so check with the CCO before rolling the cameras