important services

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  Advising Across Borders

  By Ellen Uzelac  |  February 1, 2012

  Serving internationally mobile clients is a growth business for advisors savvy about the ways of the world.

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  Pay-to-Play Rule

  By Les Abromovitz  |  January 1, 2012

  Violating the pay-to-play rule can result in serious consequences, and RIAs should adopt robust policies and procedures to prevent and detect contributions made to influence the selection of the firm by a government entity.

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  Regulatory Oversight of Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.