Articles written by Les Abromovitz, Columnist
Headline
Publish date
Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?
May 13, 2011 at 1:08 PM
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
April 14, 2011 at 1:16 PM
How suitable are your investment strategies? The SEC cares, a lot.
New ADV form heightens attention to the issue
March 30, 2011 at 2:19 PM
What not to do during a state or SEC audit
The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take
March 8, 2011 at 2:37 PM
How to avoid that fatal blow to client communication
Keep tweets, text messages and e-mails in their proper places
February 14, 2011 at 3:03 PM
Considering hosting a radio show? The SEC may tune in.
Radio programs and commercials pose compliance complications. Disclosure helps.
January 20, 2011 at 2:30 PM
The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test
December 23, 2010 at 2:51 PM
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
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
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
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
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
