Articles written by Les Abromovitz


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Unlike politicians, advisors can't walk back false claims

It may be flip-flopping season on the campaign trail but RIAs must be careful to stick to one regulatory story

August 31, 2012 — 5:10 AM UTC

In this election season, cast your vote for president in private -- not in your firm's newsletter

Whether Romney or Obama is your man there's no upside in sharing that information with your clients -- but feel free to share about the bigger picture

August 10, 2012 — 3:48 PM UTC

PR firms must recognize that RIAs answer to a higher authority

There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot

May 10, 2012 — 5:07 AM UTC

The SEC will often 'tell' advisors what compliance issues deserve attention

The agency has its own ways of communicating what gets on its regulatory nerves

April 9, 2012 — 5:58 AM UTC

Examiners may ask “Says who?” about your advertisements

RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"

June 21, 2011 — 2:23 PM UTC

Advertising practices that can raise the hackles of regulators

Photos, staff plaudits and hypotheticals are still testimonials by any other name

November 19, 2009 — 4:05 PM UTC

10 top ways to use social media without courting regulatory trouble

Make social media part of your compliance plan

September 22, 2009 — 4:43 PM UTC

Social media can turn regulatory exam into fiery wreck

Tweeting and Linking in are fair game for sharp-pencilled regulator

August 25, 2009 — 4:42 AM UTC
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