Columns
Expert Advice
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
Late to the 2017 Strategic Plan? Catch up in 8 Simple Steps
By Dan Sondhelm, Sondhelm Partners
If you were too busy eating turkey or wrapping (and unwrapping)
01.05.17
Refining and Reimagining Emerging Manager Allocations
Manager-of-manager platforms play an important role in the emerging manager ecosystem for both
12.08.16
