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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
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
Who Is In Charge At The SEC?
From the SEC’s website: “The Securities and Exchange Commission has five Commissioners who are
05.04.17
Simons Says
On Feb. 7, the Securities and Exchange Commission’s Office of Compliance Inspections and
04.06.17
Simons Says
No Action Letter On SLOAs & Custody
On Feb. 21, the SEC Division of Investment Management issued a
03.01.17
Anything New For SEC Examination Priorities for 2017?
There are a few surprise changes from the 2016 list of examination priorities. Newly-identified
02.02.17
Changing of the Guards
With 2016 in the rearview mirror, I would like to spend a little time talking about the SEC’s
01.05.17
July 2025 Issue
This month we take our annual look at the cio hires and departures among the largest public
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