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Simons Says
2018 Examination Priorities? Like the DOL Fiduciary Rule, the Securities and Exchange Commission’s
02.08.18
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Out With The Old, In With The New
Happy Holidays to everyone. There are a few things that have piqued my interest these last few
01.04.18
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Guest Column: Making Your Marketing Plan For The New Year
Eat more kale. Exercise more. Clean the junk drawer. New Year’s resolutions rarely stick, but
01.04.18
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Simons Says
SEC Update Two things I want to talk about, the Nov. 15 Division of Enforcement Annual Report for
12.07.17
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Simons Says
SEC, DOL & Increasing Examinations I want to address three topics this month, all involving the
11.02.17
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Déjà Vu All Over Again, Version 2.0
Déjà Vu All Over Again, Version 2.0 On Sept. 14, the Securities and Exchange Commission’s Office
10.05.17
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Simons Says
Let’s let the Department of Labor rest for a few moments and talk about cybersecurity. Although the
09.07.17
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Simons Says
On July 12, 2017, at the Economic Club of New York, our new SEC Chairman Jay Clay- ton gave his
08.03.17
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Diversity in the Asset Management Industry: An Oxymoron
Harvard Business School and Bella Research Group recently published the results of a study
08.03.17
Columns
Simons Says
The Department of Labor’s new fiduciary rule will partially go into effect on June 9 while the
06.08.17