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Are You On The SEC’s Radar?
Advisers to the securities listed below are on the SEC’s radar for examination. Do you manage: •
02.07.19
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Simons Says
Kudos to the SEC. Since 2013, when OCIE first identified its examination priorities for the
02.07.19
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Meeting The Demand For Better Client Communications
The asset management industry continues to face unrelenting tailwinds in its struggle to grow AUM.
02.07.19
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Simons Says
On Dec. 20, the SEC’s Office of Compliance Inspections and Examinations (OCIE), released its
01.10.19
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Guest Column - SEC Compliance Solutions
The focus on retirement accounts and senior investors has been on the SEC’s National Exam
01.10.19
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Simons Says
SEC Commissioner Peirce addressed the National Membership Conference of the National Society of
12.05.18
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Guest Column: Advice On The SEC’s Cash Solicitation Rule Risk Alert
On Oct. 31, the SEC specifically addressed the Cash Solicitation Rule in its risk alert titled,
12.05.18
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Simons Says
SEC Commissioners Put Eye Toward Investor, by By Tim Simons, FOCUS I Associates SEC Responsibility
11.08.18
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SEC Exams: Current Trends in the Focus Areas and the Process
By Elizabeth Cope, SEC Compliance Solutions Every year, we get the opportunity to experience SEC
11.08.18
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New SEC Focus?
Commissioner Robert J. Jackson, Jr., speaking at George Mason University on Sept. 19, expressed
10.04.18