Foreside Insights Blog | Les Abromovitz

Les Abromovitz

Les Abromovitz serves as a senior consultant with Foreside. He has handled publishing and compliance consulting projects for the firm since 2003. Les is responsible for conducting compliance reviews of web sites, marketing materials, social media communications, presentations, brochures, books, blogs, newsletters, proposals, radio programs, commercials, YouTube videos, and performance reports, as well as performance advertising. In addition, Les is a contributor to the Foreside monthly compliance newsletter. Les is the author of two books on compliance for investment advisers, which were published by National Underwriter/Summit Business Media. Les is a member of the Pennsylvania bar.

Recent Posts

4 minute read

SEC’s 2021 Examination Priorities Address Climate and ESG-Related Risks

On March 3, 2021, the SEC’s Division of Examinations (“Division”) announced its 2021 examination...

Regulatory Update

5 minute read

Regulatory Update: SEC Makes Dramatic Changes in Advertising and Solicitor Rules

On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisements...

3 minute read

OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...

SEC Risk Alert

3 minute read

SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...

SEC Risk Alert

5 minute read

Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...

2 minute read

Mock Examinations Can Help You Find a Way Out Of Your Compliance Problems

In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’s...