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 Privacy Policies and Rules
  •  Proxy Voting Proxy Voting
  •  RIAs and Customer Identification RIAs and Customer Identification
  •  Recent Changes in the Regulatory Landscape Recent Changes in the Regulatory Landscape
  •  Registration Requirements for Investment Advisor Representatives (IARs) Registration Requirements for Investment Advisor Representatives (IARs)
  •  Regulatory Oversight of Investment Advisors Regulatory Oversight of Investment Advisors
  •  Risk-Based Oversight of Investment Advisors Risk-Based Oversight of Investment Advisors
  •  Scope of the Fiduciary Duty Owed by Investment Advisors Scope of the Fiduciary Duty Owed by Investment Advisors
  •  Suitability and Fiduciary Duty Suitability and Fiduciary Duty
  •  The Custody Rule and its Ramifications The Custody Rule and its Ramifications