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Articles tagged "compliance"


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Brian Davis: This isn't meant to be a deep dive, but to answer those yes and no compliance questions RIAs have on a day-to-day basis.

Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators

But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions

December 7, 2012 at 5:01 AM

Les Abromovitz: Loose lips can lead to information being made available to unintended persons -- which can also lead to insider trading.

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

Les Abromovitz: You are destined to have problems if the PR firm believes that regulations need not get in the way of a great marketing campaign.

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

Les Abromovitz: If you ignore securities regulators' priorities ... you're likely to get dealt a bad hand during an exam.

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

Les Abromovitz: The most significant compliance risks arise from structured programs that reward clients for each and every referral.

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

Les Abromovitz: The SEC and state securities regulators want to prove they are aggressively overseeing RIAs.

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

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

December 5, 2011 at 4:21 AM

Les Abromovitz: [Chief compliance officers] are putting their necks on the line if they don’t know their jobs and fulfill their responsibilities.

Time for chief compliance officers to get tough and get smart, or else

Double-checking, delegating (giving virtual head slaps) and becoming a student of the Investment Advisers Act of 1940 are part of the deal

July 13, 2011 at 1:58 PM

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

December 23, 2010 at 2:51 PM

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

June 29, 2010 at 4:21 AM


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

October 21, 2009 at 4:08 AM

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

August 25, 2009 at 4:42 AM

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