December 15, 2008
NCS CONSULTANT’S NEW BOOK HELPS RIAs AVOID ADVERTISING AND MARKETING PITFALLS
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November 17, 2008
Investment Adviser Examinations: Core Initial Request for Information
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November 07, 2008
FinCEN Withdraws Proposed Anti-Money Laundering Rules for Unregistered Investment Companies, Commodity Trading Advisors and Investment Advisers
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September 10, 2008
SEC Preliminary Information Request List and Examination Information Request List dated 9-2008 - Philadelphia
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March 28, 2008
NCS to Speak at Marketing and Advertising Compliance Forum
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February 19, 2008
Blue Frog Solutions and National Compliance Services, Inc. Form Strategic Alliance
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February 04, 2008
Speech by SEC Staff: Frequently-Asked Questions About SEC Examinations
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September 21, 2007
SEC Votes to Adopt Temporary Rule on Principal Trades With Certain Advisory Clients
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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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