Les Abromovitz

Les Abromovitz

Les Abromovitz is the author of The Investment Advisor’s Compliance Guide, published for 2012 by The National Underwriter Company/Summit Business Media. Les Abromovitz is an attorney and member of the Pennsylvania bar. Les has handled hundreds of consulting and publishing project for 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).

  • Dealings With Qualified Clients and Accredited Investors

  • Differences Between State and SEC Regulation of Investment Advisors

  • Disaster Recovery Plans and Succession Planning

  • Do’s and Don’ts of Advisory Contracts

  • Glossary

  • How to Avoid Sabotaging Your Compliance Exam

  • Meeting and Exceeding Clients and Regulators’ Expectations

  • Nothing but the Best Execution

  • Pay-to-Play Rule

  • Preventing and Dealing with Client Complaints