Columns
Expert Advice
Simons Says
SEC Commissioners Put Eye Toward Investor, by By Tim Simons, FOCUS I Associates
SEC Responsibility
11.08.18
SEC Exams: Current Trends in the Focus Areas and the Process
By Elizabeth Cope, SEC Compliance Solutions
Every year, we get the opportunity to experience SEC
11.08.18
New SEC Focus?
Commissioner Robert J. Jackson, Jr., speaking at George Mason University on Sept. 19, expressed
10.04.18
Simons Says
Culture At Financial Institutions & The SEC
Securities and Exchange Commission Chairman Jay Clayton
09.06.18
Simons Says
National Exam Program Risk Alerts
The Securities and Exchange Commission’s Office of Compliance
08.02.18
Simons Says
The SEC’s 4-Year Goals
On June 19, the Securities and Exchange Commission published a draft
07.05.18
Selling RIAs On Your Strategy: The Double Marketing Challenge
RIAs—”particularly the independent registered investment advisory firms who do not invest solely
07.05.18
The Fundamentals of Investment Management Firms: Team Dynamics
It is said that the majority of an investment management firm’s assets leave the building every
06.07.18
Simons Says
Suitability-Plus Standards
Last month we talked about the SEC’s proposed Fiduciary Rule (as
06.07.18
Simons Says
SEC Standards of Conduct For Investment Professionals
On April 18, Securities and Exchange
05.03.18
