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).

  • Privacy Policies and Rules

  • Proxy Voting

  • RIAs and Customer Identification

  • Recent Changes in the Regulatory Landscape

  • Registration Requirements for Investment Advisor Representatives (IARs)

  • Regulatory Oversight of Investment Advisors

  • Risk-Based Oversight of Investment Advisors

  • Scope of the Fiduciary Duty Owed by Investment Advisors

  • Suitability and Fiduciary Duty

  • The Custody Rule and its Ramifications