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Why RIA videos are especially fraught with regulatory pitfalls

The productions are expensive so check with the CCO before rolling the cameras

Author Guest Columnist Les Abromovitz December 5, 2011 at 4:21 AM
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Les Abromovitz: A word or two can make the difference between a compliant video and one that is potentially misleading.

RIA Compliance



Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner

Aurora Compliance Solutions
RIA Set-up Firm
Top Executive: Edward Romanowsky



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