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August 17, 2010
Sweep exams of investment advisers that offer or hold alternative investments
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August 10, 2010
Four active marketing strategies that can lead to compliance trouble
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July 22, 2010
DODD-FRANK WALL STREET REFORM AND CONSUMER PROTECTION ACT
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June 30, 2010
SEC Adopts New Measures to Curtail Pay to Play Practices by Investment Advisers
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June 10, 2010
COMPLIANCE ALERT – SEC CONDUCTING LIMITED SCOPE EXAMS
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May 24, 2010
NASAA Statement on Passage of Senate Financial Reform Bill
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April 05, 2010
March 2010 - SEC request letter to newly formed SEC Adviser
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NCS to Speak at Marketing and Advertising Compliance Forum
at the Princeton Club in New York City on March 28, 2008
March 28, 2008
- Les Abromovitz, senior consultant for NCS, discussed website and Internet compliance issues at the 4th Annual Marketing and Advertising Compliance Forum for Investment Advisers. Les’ presentation was conducted at the Princeton Club in New York City on March 28, 2008. The event was sponsored by Financial Research Associates. Other members of the speaking faculty included a representative from the U.S. Securities & Exchange Commission, as well as securities attorneys from a number of prominent law firms.
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