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What not to do during a state or SEC audit

The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take

Author Les Abromovitz, Columnist March 8, 2011 at 2:37 PM
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Les Abromovitz: The fact that another adviser is engaging in the same conduct does not make it compliant. For example, you won’t help your cause by showing examiners other RIA websites that are just as noncompliant as yours is.

RIA Compliance



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Top Executive: Mark Alcaide, COO/Partner



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