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Simons Says
Examination Results for FY 2019 It’s too early for any information on the number of investment
11.06.19
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Compliant Advertising: Breaking it Down Part 3: Past Specific Recommendations
  This third article will focus on the DOs and DONTs of past specific recommendations. Just like we
11.06.19
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Simons Says
On Aug. 21, the SEC released, “Commission Guidance Regarding Proxy Voting Responsibilities of
09.04.19
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Risk Alert: Employee Supervision & Employing Personnel with Disciplinary Events
As part of the SEC’s focus on protecting retail investors, in 2017, they examined over 50 RIAs to
09.04.19
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Simons Says
There we were, on July 22, talking about disciplinary history policy, and OCIE’s Sept. 12, 2016
08.07.19
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Risk Alert: Common Reg S-P Deficiencies By Elizabeth Cope, SEC Compliance Solutions
Once again, the SEC has provided insight into exam deficiencies. This time, it’s regarding Reg S-P.
08.07.19
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Risk Alert: Use of Third Parties For Network Storage
As a reminder, a “Risk Alert” is the Securities and Exchange Commission’s way of giving you a heads
07.03.19
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Simons Says
Peter Driscoll, the Director of OCIE, spoke to attendees at an NRS Conference on April 29
06.05.19
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Guest Column: Compliant Advertising: Breaking It Down
Part 2: Testimonials Review of Part 1 — The Foundation In the first article of this series, we
06.05.19
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Guest Column: Investment Advisory: Growth Strategies For Your Firm
Great performance tends to attract new investors, but performance alone is not enough to win or
06.05.19