Les Abromovitz

Les Abromovitz

Les Abromovitz is the author of The Investment Advisor’s Compliance Guide, published by The National Underwriter Company/ALM Media.

An attorney and member of the Pennsylvania bar, Les has handled hundreds of consulting and publishing projects for National Compliance Services, www.ncsonline.com, a leading compliance and regulatory services firm. He has conducted a number of seminars and training sessions dealing with compliance subjects. Les is also the author of several white papers that analyze compliance issues impacting Registered Investment Advisors (RIAs)‎.

To contact Mr. Abromovitz, email labromovitz@ncsonline.com or call 561-330-7645 Ext. 213‎.

  • Cybersecurity for the Insecure Advisor Cybersecurity for the Insecure Advisor
  • How RIAs Should Enforce Firm Policies and Procedures
  • Don’t Fall Off a Compliance Cliff in 2013 Don’t Fall Off a Compliance Cliff in 2013
  •  Advertising Advisor Services and Credentials Advertising Advisor Services and Credentials
  •  Agency and Principal Transactions Agency and Principal Transactions
  •  Anti-Fraud Provisions of the Investment Advisers Act Anti-Fraud Provisions of the Investment Advisers Act
  •  Best Practices for Working with Senior Investors Best Practices for Working with Senior Investors
  •  Books and Records Rule Books and Records Rule
  •  Client Commission Practices and Soft Dollars Client Commission Practices and Soft Dollars
  •  Client Communication and Miscommunication Client Communication and Miscommunication