Book description
As the SEC and state securities regulators ramp up their regulatory
supervision, investment advisers need to know what to do stay in compliance.
Simplify complex compliance activities, save yourself worry, and
avoid severe sanctions with the all new
Investment Advisor s Compliance Guide.
The Investment Advisor s Compliance Guide provides guidance on all of
today s compliance issues, including:
- Rules affecting the use of social media
- Switching from SEC registration to state registration
- The Form ADV Disclosure Brochure
- Specific changes mandated by Dodd-Frank
- SEC whistleblower activities
- And much more
Mr. Abromovitz is an attorney with extensive experience handling
compliance consulting assignments for RIAs. In addition to his legal
background, he served as a state insurance regulator . Mr. Abromovitz
has been the author, co-author, technical editor, and ghostwriter of
many investment, retirement, legal, insurance, and business books for
publishers such as McGraw-Hill and John Wiley & Sons. He helped to
create an online course that was used by FINRA to teach college students
about money management, credit, and retirement planning. Les has also
created courses and training modules for financial services
professionals, as well as for consumers. His articles have been
published by TD Ameritrade, Pershing, Fidelity, Securities Training
Corp., Financial Services Institute, MoneyTrack. org, and Boomer Market
Advisor, and he is a regular columnist for RIABIZ. com. Mr. Abromovitz
has also spoken on this topic at a number of conferences, including the
Investment Adviser Compliance Forum and the NAPFA Advanced Planners
Conference. He received his B. A. from the University of Pittsburgh and
his J. D. from Duquesne University School of Law.
