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Articles tagged "compliance"

Les Abromovitz: A word or two can make the difference between a compliant video and one that is potentially misleading.

Why RIA videos are especially fraught with regulatory pitfalls
The productions are expensive so check with the CCO before rolling the cameras

Monday 12.5.11
Les Abromovitz: Recently, one RIA firm that I work with claimed to have created hundreds of unique solutions. Those kinds of claims invite a securities examiner to ask for proof that the firm’s solutions are truly out of the ordinary.

The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test

Thursday 12.23.10
Marc Cohen: Frankly a number of our attorneys stayed up way too late sitting around a conference table continually throwing out words that could possibly get someone into trouble.

MarketCounsel's MailBanc automates away some of the liability risk of instant communications
A web-based email archiving and compliance tool for small to mid-size RIAs

Tuesday 6.29.10
Les Abromovitz: The SEC examiner in your office may be a bit more skeptical about your firm’s conduct than was previously the case during a routine examination.

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

Wednesday 4.28.10
Patrick Sullivan has brought 80 fellow advisors under his firm's compliance umbrella

LPL Financial wins more breakaway brokers by sacrificing a revenue stream
Morristown Financial Group finds lucrative niche by taking over some supervisory duties from fellow brokers

Wednesday 10.21.09
Les Abromovitz: Twitter's 140-word limit leaves scant room for disclosures

Social media can turn regulatory exam into fiery wreck
Tweeting and Linking in are fair game for sharp-pencilled regulator

Tuesday 8.25.09
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