Columns
Expert Advice
Simons Says
2018 Examination Priorities?
Like the DOL Fiduciary Rule, the Securities and Exchange Commission’s
02.08.18
Out With The Old, In With The New
Happy Holidays to everyone.
There are a few things that have piqued my interest these last few
01.04.18
Guest Column: Making Your Marketing Plan For The New Year
Eat more kale. Exercise more. Clean the junk drawer. New Year’s resolutions rarely stick, but
01.04.18
Simons Says
SEC Update
Two things I want to talk about, the Nov. 15 Division of Enforcement Annual Report for
12.07.17
Simons Says
SEC, DOL & Increasing Examinations
I want to address three topics this month, all involving the
11.02.17
Déjà Vu All Over Again, Version 2.0
On Sept. 14, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers”.
10.05.17
Simons Says
Let’s let the Department of Labor rest for a few moments and talk about cybersecurity.
Although the
09.07.17
Simons Says
On July 12, 2017, at the Economic Club of New York, our new SEC Chairman Jay Clay- ton gave his
08.03.17
Diversity in the Asset Management Industry: An Oxymoron
Harvard Business School and Bella Research Group recently published the results of a study
08.03.17
Simons Says
The Department of Labor’s new fiduciary rule will partially go into effect on June 9 while the
06.08.17
May 2024 Issue
For those of you that missed our LinkedIn webinar that went deeper into our feature from last
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