Articles tagged "Les Abromovitz"
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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
December 5, 2011 at 4:21 AM
RIAs need to take a hard look at their use of soft dollars
Some advisors are landing in hot water with the SEC
November 11, 2011 at 5:14 AM
Advisor newsletters: Compliance-wise, all news may not be fit to print
Even a photograph of a client may be viewed as a testimonial
October 19, 2011 at 3:11 AM
RIAs switching to state registration may be examined by a second regulator, too
The audit may come remotely from a state where the advisor doesn't have a place of business
September 22, 2011 at 2:54 AM
Examiners may ask “Says who?” about your advertisements
RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"
June 21, 2011 at 2:23 PM
Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?
May 13, 2011 at 1:08 PM
Potential whistleblowers have little to lose and millions to gain with the SEC's reward system
Here's how to keep complaints from turning into tip-off phone calls
April 14, 2011 at 1:16 PM
How suitable are your investment strategies? The SEC cares, a lot.
New ADV form heightens attention to the issue
March 30, 2011 at 2:19 PM
What not to do during a state or SEC audit
The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take
March 8, 2011 at 2:37 PM
How to avoid that fatal blow to client communication
Keep tweets, text messages and e-mails in their proper places
February 14, 2011 at 3:03 PM
Considering hosting a radio show? The SEC may tune in.
Radio programs and commercials pose compliance complications. Disclosure helps.
January 20, 2011 at 2:30 PM
The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test
