Columns
Expert Advice
Simons Says
2015 has been a very interesting year for Compliance folks. Let’s take a look at some of the topics
01.07.16
Developing & Executing A Long-Term Content Strategy
Content. It’s the lifeblood of investment management marketing—only most in the industry don’t
12.03.15
Simon Says
Required Third-Party Reviews?! At What Cost?
On October 23, 2015, David Grim, the Director of the
12.03.15
Improving A Marketing Communications Strategy in 10 Steps
Does this sound familiar? I began my career at a global multi-product institutional investment
11.05.15
Simons Says
On Oct. 14, Buddy Donohue, a former director of the Securities and Exchange Commission’s Division
11.05.15
Cyber This, Cyber That—¦ Here's Where We're At
Background In January 2014, the National Examination Program (“NEP”) identified the examination
10.08.15
Simons Says
UNCLE!
In prior articles, I have addressed two recently proposed rules that will impact
09.10.15
Simons Says
Rule 204A-1, Investment Adviser Codes of Ethics (the “Rule”), with a compliance date of January 7,
08.06.15
Simons Says
Those who know me know that I can be passionate about many things, one of the chief among them
07.02.15
Proposed Rule Seeks More Info From Managers
I have three topics that I would like to briefly discuss:
Proposed Rule Amendments
On May 20th, the
06.04.15
