Articles written by Les Abromovitz, Guest Columnist
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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
October 29, 2012 at 3:22 PM
RIAs need to take a hard look at their use of soft dollars
Some advisors are landing in hot water with the SEC
November 11, 2011 at 5:14 AM
Advisor newsletters: Compliance-wise, all news may not be fit to print
Even a photograph of a client may be viewed as a testimonial
October 19, 2011 at 3:11 AM
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
September 22, 2011 at 2:54 AM
How far can RIAs go with advertisements?
Don't take your cues from restaurants or lawyers
July 15, 2010 at 6:54 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
March 22, 2010 at 3:58 AM
FINRA guidance may help RIAs avoid social media blunders
Even employees' LinkedIn profiles ought to be supervised
February 26, 2010 at 7:49 AM
SEC’s heightened interest in the older set means advisors should pay heed
Questions of diminished capacity, appropriate investing strategy apply
February 2, 2010 at 5:13 AM
Outdated RIA websites risk compliance trouble not to mention credibility
Esteem from having a website gets squandered by neglecting its content
