Foreside Insights Blog | Les Abromovitz (2)

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

BCP

3 minute read

What Lessons About Business Continuity Plans Will RIAs Learn from the Pandemic?

On August 27, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) publishedfalse

Work From Home

3 minute read

Coronavirus Pandemic Creates New Compliance Challenges

According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,false

3 minute read

Conflicts of Interest May Keep Advisors From Rendering Disinterested Advice

Recent enforcement actions make it clear how important it is for investment advisors to make fullfalse

3 minute read

SEC’s 2020 Priorities Give Firms 20/20 View of Upcoming Examinations

On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announcedfalse

3 minute read

SEC Proposes New Accredited Investor Definition

On December 18, 2019, the SEC proposed an updated accredited investor definition. Accreditedfalse

4 minute read

SEC Moves Forward with New Advertising and Solicitation Rules

On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitationsfalse