Les Abromovitz

Displaying 5 results
Cybersecurity for the insecure RIA
OPINION NOV 19, 2015
Cybersecurity for the insecure RIA

Ways to prevent a bad outcome when examiners come to assess your cybersecurity efforts

Overstating AUM a sure way to get regulators knocking on your door
PRACTICE MANAGEMENT OCT 06, 2015
Overstating AUM a sure way to get regulators knocking on your door

In one recent case, regulators charged an RIA's president, vice president and chief compliance officer. The firm is no longer in business.

RIA NEWS APR 02, 2015
Time for RIAs to set transition plans as SEC steps up focus

Regulator turning attention to how risks arising from advisers' asset management business might cascade throughout the economy.

RIA NEWS SEP 11, 2014
SEC takes a hard stance on soft dollar abuses

PRACTICE MANAGEMENT MAY 16, 2014
Tall tales are a red flag for regulators

Advisers are sure to get a visit if they exaggerate numbers or make dubious statements in advertising.