Columns
Expert Advice
Meeting The Demand For Better Client Communications
The asset management industry continues to face unrelenting tailwinds in its struggle to grow AUM.
02.07.19
Simons Says
On Dec. 20, the SEC’s Office of Compliance Inspections and Examinations (OCIE), released its
01.10.19
Guest Column - SEC Compliance Solutions
The focus on retirement accounts and senior investors has been on the SEC’s National Exam
01.10.19
Simons Says
SEC Commissioner Peirce addressed the National Membership Conference of the National Society of
12.05.18
Guest Column: Advice On The SEC’s Cash Solicitation Rule Risk Alert
On Oct. 31, the SEC specifically addressed the Cash Solicitation Rule in its risk alert titled,
12.05.18
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
February 2026 Issue
The announcement of the finalists in our annual Emerging Manager Awards.