Columns
Expert Advice
Simons Says
The Securities and Exchange Commission is proposing rules that would modify the registration,
04.03.19
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
Simons Says
The OCIE’s National Examination Program Risk Alert “Observations from Investment Adviser
03.06.19
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
Simons Says
Kudos to the SEC. Since 2013, when OCIE first identified its examination priorities for the
02.07.19
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
Simons Says
On Dec. 20, the SEC’s Office of Compliance Inspections and Examinations (OCIE), released its
01.10.19
Guest Column - SEC Compliance Solutions
The focus on retirement accounts and senior investors has been on the SEC’s National Exam
01.10.19
Simons Says
SEC Commissioner Peirce addressed the National Membership Conference of the National Society of
12.05.18
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
