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Simons Says
Culture At Financial Institutions & The SEC Securities and Exchange Commission Chairman Jay Clayton
09.06.18
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Simons Says
National Exam Program Risk Alerts The Securities and Exchange Commission’s Office of Compliance
08.02.18
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Simons Says
The SEC’s 4-Year Goals On June 19, the Securities and Exchange Commission published a draft
07.05.18
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Selling RIAs On Your Strategy: The Double Marketing Challenge
RIAs—”particularly the independent registered investment advisory firms who do not invest solely
07.05.18
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The Fundamentals of Investment Management Firms: Team Dynamics
It is said that the majority of an investment management firm’s assets leave the building every
06.07.18
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Simons Says
Suitability-Plus Standards Last month we talked about the SEC’s proposed Fiduciary Rule (as
06.07.18
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Simons Says
SEC Standards of Conduct For Investment Professionals On April 18, Securities and Exchange
05.03.18
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Is The DOL Fiduciary Rule Dead?
Is the Department of Labor’s Fiduciary Rule dead? The correct answer is, “pretty much.” On March
04.05.18
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SEC FY2018 Examination Priorities!
On Feb. 7, the Securities and Exchange Commission’s Office of Compliance Inspections and
03.08.18
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Six Reasons Why You Are Not Attracting New Assets
“Solid long-term performance?” Check “Consistent investment approach?” Check “Continuity of
03.08.18