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 at 5:10 AM
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 at 3:48 PM
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 at 5:07 AM
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 at 5:58 AM
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 at 2:23 PM
Advertising practices that can raise the hackles of regulators
Photos, staff plaudits and hypotheticals are still testimonials by any other name
November 19, 2009 at 4:05 PM
10 top ways to use social media without courting regulatory trouble
Make social media part of your compliance plan
September 22, 2009 at 4:43 PM
Social media can turn regulatory exam into fiery wreck
Tweeting and Linking in are fair game for sharp-pencilled regulator
