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Expert Advice

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Six Reasons Why You Are Not Attracting New Assets

“Solid long-term performance?” Check “Consistent investment approach?” Check “Continuity of

03.08.18

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Simons Says

2018 Examination Priorities? Like the DOL Fiduciary Rule, the Securities and Exchange Commission’s

02.08.18

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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

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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

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Simons Says

SEC Update Two things I want to talk about, the Nov. 15 Division of Enforcement Annual Report for

12.07.17

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Simons Says

SEC, DOL & Increasing Examinations I want to address three topics this month, all involving the

11.02.17

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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

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Simons Says

Let’s let the Department of Labor rest for a few moments and talk about cybersecurity. Although the

09.07.17

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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

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Diversity in the Asset Management Industry: An Oxymoron

Harvard Business School and Bella Research Group recently published the results of a study