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The Investment Advisor’s Compliance Guide, 2nd Edition

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1930002B

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Given the current activities of SEC and state securities regulators, as well as the changing business and communication landscapes, investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. The Investment Advisor’s Compliance Guide, 2nd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis—no matter where you’re registered. 

Given the current activities of SEC and state securities regulators, as well as the changing business and communication landscapes, investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. The Investment Advisor’s Compliance Guide, 2nd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis—no matter where you’re registered.

The completely enhanced and updated Investment Advisor’s Compliance Guide, 2nd Edition, provides highly practical guidance covering all of today’s compliance issues, including:

  • The DOL’s new fiduciary rule
  • RIA advertising, including the use of client testimonials, credentials, and performance results
  • The use of today’s top social media platforms
  • Client communications, including disclosures
  • Recent ethical decisions

Designed to go far beyond basic compliance rules, The Investment Advisor’s Compliance Guide, 2nd Edition, will also help advisors avoid compliance issues, deal with client complaints, and grow their business with the confidence that their actions are well suited to withstand the strictest scrutiny from clients and regulators alike.

The expert author, Les Abromovitz, J.D., has extensive experience handling compliance consulting assignments for Registered Investment Advisers (RIAs).  In The Investment Advisor’s Compliance Guide, 2nd Edition, he has created a completely up-to-date, reader-friendly, go-to-resource for investment advisors, vital for veterans but also a powerful training tool for those new to the field.

Additional Information
SKU 1930002B
Publication Date February 17, 2017
ISBN 978-1-941627-93-8
Page Count 336
Author Les Abromovitz, J.D.
Edition 2
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Les Abromovitz, J.D.

Les Abromovitz, J.D. is an attorney and member of the Pennsylvania bar. Les has handled hundreds of consulting and publishing projects 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).

Les is the author of Growing Within the Lines: the Investment Adviser’s Advertising and Marketing Compliance Guide, which was published in November, 2008, by The National Underwriter Company. Les has also written about compliance and ethics for numerous professional publications. His articles have been published by TD Ameritrade, Pershing, Fidelity, Securities Training Corp., Financial Services Institute, MoneyTrack.org, Boomer Market Advisor, and Forbes.com. He is a regular columnist for RIABIZ.com.

In addition, Les has been the author, co-author, technical editor, and ghostwriter of many investment, retirement, legal, insurance, and business books for publishers including McGraw-Hill, John Wiley & Sons, and Dearborn Trade. Les has also created courses, podcasts, and training modules for financial services professionals, as well as consumers.

In addition to his legal background, Les was a state insurance regulator for two years. He received his B.A. from the University of Pittsburgh and his J.D. from Duquesne University School of Law. He and his wife split their time between Pittsburgh, Pennsylvania, and Boca Raton, Florida.