May 13, 2011
Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?
LA
Author
Les Abromovitz, Columnist
15 articles
Articles written by Les Abromovitz, Columnist
Apr 14, 2011
Potential whistleblowers have little to lose and millions to gain with the SEC's reward system
Here's how to keep complaints from turning into tip-off phone calls
Mar 30, 2011
How suitable are your investment strategies? The SEC cares, a lot.
New ADV form heightens attention to the issue
Mar 8, 2011
What not to do during a state or SEC audit
The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take
Feb 14, 2011
How to avoid that fatal blow to client communication
Keep tweets, text messages and e-mails in their proper places
Jan 20, 2011
Considering hosting a radio show? The SEC may tune in.
Radio programs and commercials pose compliance complications. Disclosure helps.
Dec 23, 2010
The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test
Nov 30, 2010
SEC's new pay-to-play rules call for you to investigate your employees' political giving
Surprisingly broad regs kick in next quarter, covering RIAs that do business with the government
Nov 2, 2010
Why you should pay attention to proliferating advisor credentials
Les Abromovitz heads to Nebraska to figure out which letters are worthwhile -- and which take little more than a check and a pulse to earn
Oct 11, 2010
So you're an RIA. Be careful about calling yourself one, says the SEC
Beware of using the term as focal point for marketing; some states may have competing regulations
Sep 21, 2010
When it comes to senior investors, regulators are breathing down your shoulder
A Colorado advisor who oversold hedge funds may pay a price
Sep 2, 2010
Now, the SEC wants you to be a writer, too?
ADV Part 2 form calls for clear language, and detailed descriptions even of the people working for you
Aug 10, 2010
Four active marketing strategies that can lead to compliance trouble
How far can RIAs go with advertisements? Part deux
Jun 30, 2010
Hello! The SEC wants your records by tomorrow
One advisor had a day to produce voluminous records. That's the kind of request likely to grow more common as the SEC performs more unscheduled audits
May 25, 2010
Compliance GPS: It may be a mistake to project too successful an image, especially in a post-Bernie Madoff world
Hint: photos of you on a yacht may not be what your clients are looking for right now