Articles written by Guest Columnist Les Abromovitz
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SEC may tackle RIAs claiming to have 'skin in the game'
Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund
December 28, 2012 at 2:30 AM
Older investors' complaints deserve -- and receive -- special scrutiny from regulators
Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions
July 17, 2012 at 3:53 PM
Beware: RIA privacy breaches aren’t always high-tech
Bellowing that reaches the waiting room is one example of potential confidentiality-breaching behavior
June 20, 2012 at 3:48 AM
Where RIAs should draw the line in rewarding clients for referrals
By expressing your gratitude in a tangible form, you run the risk of turning your client into a solicitor
March 26, 2012 at 5:50 AM
Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts
CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response
February 22, 2012 at 3:52 AM
Think about compliance before sending or posting those articles you read
A new SEC alert gives updated guidance regarding the pitfalls of using social media
January 23, 2012 at 4:40 PM
Recent SEC enforcement actions make annual policies and procedures exams even more important
Sprucing up your compliance manual early and often can prevent the SEC leaving coal in your Christmas stocking
January 5, 2012 at 4:59 AM
Why RIA videos are especially fraught with regulatory pitfalls
The productions are expensive so check with the CCO before rolling the cameras
