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Expert Advice
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
The Proposed Fiduciary Rule & Other Thoughts
I actually have three topics that I would like to touch on, the Department of Labor Proposed
05.07.15
A Fiduciary Rule, Finally?
Last week, I found twenty-four articles about setting a “fiduciary standard,” many from different
04.02.15
Perspective on 2015 SEC Commissioner Speeches
In my last article, I talked about the SEC’s Examination Priorities for 2015. Today, I want to talk
03.05.15
SEC Examination Priorities for 2015
On January 13, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its
02.05.15
Seven Principles for Managing Cybersecurity
Cybersecurity has become one of the hottest topics in the asset management industry. The Securities
02.05.15
February 2026 Issue
The announcement of the finalists in our annual Emerging Manager Awards.