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.

[email protected] ncsonline.com

Les’s Recent activity

Chief Compliance Officers Face Aggressive Enforcement Actions

Oct 21, 2015

When policies and procedures are inadequate or disregarded, compliance mistakes are likely to occur.

Fact-Checking Isn’t Just for Politicians

Nov 21, 2014

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.