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.

  •  Conducting Due Diligence of Sub-Advisors and Third-Party Advisors Conducting Due Diligence of Sub-Advisors and Third-Party Advisors
  •  Dealings With Qualified Clients and Accredited Investors Dealings With Qualified Clients and Accredited Investors
  •  Differences Between State and SEC Regulation of Investment Advisors Differences Between State and SEC Regulation of Investment Advisors
  •  Disaster Recovery Plans and Succession Planning Disaster Recovery Plans and Succession Planning
  •  Do’s and Don’ts of Advisory Contracts Do’s and Don’ts of Advisory Contracts
  • Glossary Glossary
  •  How to Avoid Sabotaging Your Compliance Exam How to Avoid Sabotaging Your Compliance Exam
  •  Meeting and Exceeding Clients and Regulators’ Expectations Meeting and Exceeding Clients and Regulators’ Expectations
  •  Nothing but the Best Execution Nothing but the Best Execution
  •  Pay-to-Play Rule Pay-to-Play Rule