Oct 29, 2012
RIAs must prepare for post-disaster recovery or regulators will lower the boom
Tornadoes, floods and hurricanes, sure, but death, disability and bad succession plans can also be disastrous for clients
LA
Author
Les Abromovitz, Guest Columnist
11 articles
Articles written by Les Abromovitz, Guest Columnist
Nov 11, 2011
RIAs need to take a hard look at their use of soft dollars
Some advisors are landing in hot water with the SEC
Oct 19, 2011
Advisor newsletters: Compliance-wise, all news may not be fit to print
Even a photograph of a client may be viewed as a testimonial
Sep 22, 2011
RIAs switching to state registration may be examined by a second regulator, too
The audit may come remotely from a state where the advisor doesn't have a place of business
Jul 15, 2010
How far can RIAs go with advertisements?
Don't take your cues from restaurants or lawyers
Apr 28, 2010
The SEC's unannounced compliance exams are growing more common. That means the ‘I’ll-get-to-it’ strategy is an even worse idea than before.
How to test your firm’s readiness
Apr 7, 2010
The SEC wants you to consider the catastrophes
How an RIA should prepare for the worst
Mar 22, 2010
One excuse the SEC doesn't listen to: I was just following the crowd
Third-party rankings misleading without the context; here's how to give it
Feb 26, 2010
FINRA guidance may help RIAs avoid social media blunders
Even employees' LinkedIn profiles ought to be supervised
Feb 2, 2010
SEC’s heightened interest in the older set means advisors should pay heed
Questions of diminished capacity, appropriate investing strategy apply
Oct 12, 2009
Outdated RIA websites risk compliance trouble not to mention credibility
Esteem from having a website gets squandered by neglecting its content