Columns
Expert Advice
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
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
February 2026 Issue
The announcement of the finalists in our annual Emerging Manager Awards.