Aug 31, 2012
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
LA
Author
Les Abromovitz
8 articles
Articles written by Les Abromovitz
Aug 10, 2012
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
May 10, 2012
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
Apr 9, 2012
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
Jun 21, 2011
Examiners may ask “Says who?” about your advertisements
RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"
Nov 19, 2009
Advertising practices that can raise the hackles of regulators
Photos, staff plaudits and hypotheticals are still testimonials by any other name
Sep 22, 2009
10 top ways to use social media without courting regulatory trouble
Make social media part of your compliance plan
Aug 25, 2009
Social media can turn regulatory exam into fiery wreck
Tweeting and Linking in are fair game for sharp-pencilled regulator