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Compliant Advertising: Breaking It Down
The topic of advertising is one of the most challenging areas for CCOs. The challenge begins with
05.01.19
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Simons Says
The Securities and Exchange Commission is proposing rules that would modify the registration,
04.03.19
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5 Tips To Simplify A CCO’s Heavy Workload
In all my experience, working with CCOs as a compliance consultant, the one common sentiment they
04.03.19
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Simons Says
The OCIE’s National Examination Program Risk Alert “Observations from Investment Adviser
03.06.19
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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