Les Abromovitz

Senior Consultant ,
National Compliance Services

Les Abromovitz, JD, is the author of two RIA compliance books and is a senior consultant with National Compliance Services (www.ncsonline.com), where he is responsible for conducting compliance reviews of web sites, marketing materials, social media communications, presentations, brochures, books, blogs, newsletters, proposals, radio programs, commercials, YouTube videos, performance reports, and performance advertising. He earned a JD from Duquesne University School of Law.

Chief Compliance Officers Face Aggressive Enforcement Actions
Compliance officers and RIA's may find themselves in SEC crosshairs if they fail to fulfill their obligations or engage in misconduct.
Fact-Checking Isn’t Just for Politicians
Securities regulators expect investment advisers to get their facts straight and to possess evidence to back up statements they make to clients, as well as prospects.
How RIAs Should Handle a Compliance Exam
VIEWPOINTS: Les Abromovitz, Senior Consultant, National Compliance Services; The CCO for an advisory firm makes certain that the RIA is fully prepared for the compliance examination and should set the right tone for the office.
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