Articles tagged "Les Abromovitz"
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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
November 30, 2010 at 4:12 AM
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
November 2, 2010 at 6:03 AM
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
October 11, 2010 at 4:41 AM
Three signs RIA firms are adapting to the brave new world
Looking for change with the help of the IAA's annual report: service providers are gearing up, AUM is rising and the big firms are winning
October 5, 2010 at 4:06 AM
When it comes to senior investors, regulators are breathing down your shoulder
A Colorado advisor who oversold hedge funds may pay a price
September 21, 2010 at 3:26 AM
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
September 2, 2010 at 4:32 AM
What do advisors care about? The new SEC that emerged in July, for one thing.
Plus, what a Smith Barney breakaway team is finding out about financial plans
August 12, 2010 at 3:50 AM
Four active marketing strategies that can lead to compliance trouble
How far can RIAs go with advertisements? Part deux
August 10, 2010 at 3:47 AM
How far can RIAs go with advertisements?
Don't take your cues from restaurants or lawyers
July 15, 2010 at 6:54 AM
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
June 30, 2010 at 6:40 AM
What the ADV form of Kenneth I. Starr's RIA reveals and what to make of it
It appears that Starr had his son, Ronald, as chief compliance officer
June 4, 2010 at 5:03 AM
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
May 25, 2010 at 4:57 AM
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
April 28, 2010 at 5:46 AM
The SEC wants you to consider the catastrophes
How an RIA should prepare for the worst
April 7, 2010 at 5:45 AM
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
