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Expert Advice
Advertising Rule and the Cash Solicitation Rule
The SEC proposed major changes to the Advertising Rule and the Cash Solicitation Rule on Nov. 4. I
12.04.19
SEC Proxy Voting Guidance
After years of research, OCIE exam findings and roundtable discussions, the SEC has issued guidance
12.04.19
Simons Says
Examination Results for FY 2019
It’s too early for any information on the number of investment
11.06.19
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
Simons Says
On Aug. 21, the SEC released, “Commission Guidance Regarding Proxy Voting Responsibilities of
09.04.19
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
Simons Says
There we were, on July 22, talking about disciplinary history policy, and OCIE’s Sept. 12, 2016
08.07.19
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
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
Simons Says
Peter Driscoll, the Director of OCIE, spoke to attendees at an NRS Conference on April 29
06.05.19
April 2024 Issue
Emerging Manager Monthly has launched a new Manager Academy to provide investment management firms
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