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

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    OCIE Risk Alert Helps Firms Safeguard Customer Records and Information In Network Storage

    On May 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published afalse
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    SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs

    On June 5, 2019, the SEC adopted Regulation Best Interest and the new Form CRS Relationshipfalse
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    Protecting Retail Investors Through Examinations and Outreach

    On April 29, 2019, Peter Driscoll, Director of the SEC’s Office of Compliance Inspections andfalse
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    Two RIAs Pay The Price For Violating The Pay-To-Play Rule

    Even if they are disinterested in politics, registered investment advisers (“RIA”) must be aware offalse
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    Risk Alert Warns RIAs and Broker-Dealers About Compliance Issues Involving Regulation S-P Privacy Notices and Safeguard Policies

    Regulation S-P is the SEC’s primary rule pertaining to the privacy notices and safeguard policiesfalse
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    SEC Won’t Tolerate RIA’s Indifference To Compliance

    A recent enforcement action demonstrates that the SEC will not ignore compliance violations,false
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    Overly Complicated Marketing Materials

    It’s Complicated. It’s Way Too Complicated.

    OCIE Risk Alert Helps Firms Safeguard Customer Records and Information In Network Storage

    Les Abromovitz | Jun 25, 2019 1:17:03 PM

    SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs

    Les Abromovitz | Jun 10, 2019 7:54:00 AM

    Protecting Retail Investors Through Examinations and Outreach

    Les Abromovitz | May 30, 2019 9:09:00 AM

    Two RIAs Pay The Price For Violating The Pay-To-Play Rule

    Les Abromovitz | May 22, 2019 11:41:40 AM

    Risk Alert Warns RIAs and Broker-Dealers About Compliance Issues Involving Regulation S-P Privacy Notices and Safeguard Policies

    Les Abromovitz | May 22, 2019 11:33:08 AM

    SEC Won’t Tolerate RIA’s Indifference To Compliance

    Les Abromovitz | May 21, 2019 5:07:18 PM

    Overly Complicated Marketing Materials

    Les Abromovitz | Oct 26, 2018 12:54:16 PM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.