Columns
Expert Advice
Is The DOL Fiduciary Rule Dead?
Is the Department of Labor’s Fiduciary Rule dead? The correct answer is, “pretty much.”
On March
04.05.18
SEC FY2018 Examination Priorities!
On Feb. 7, the Securities and Exchange Commission’s Office of Compliance Inspections and
03.08.18
Six Reasons Why You Are Not Attracting New Assets
“Solid long-term performance?” Check
“Consistent investment approach?” Check
“Continuity of
03.08.18
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
