Columns
Expert Advice
Simons Says
Culture At Financial Institutions & The SEC
Securities and Exchange Commission Chairman Jay Clayton
09.06.18
Simons Says
National Exam Program Risk Alerts
The Securities and Exchange Commission’s Office of Compliance
08.02.18
Simons Says
The SEC’s 4-Year Goals
On June 19, the Securities and Exchange Commission published a draft
07.05.18
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
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
Simons Says
Suitability-Plus Standards
Last month we talked about the SEC’s proposed Fiduciary Rule (as
06.07.18
Simons Says
SEC Standards of Conduct For Investment Professionals
On April 18, Securities and Exchange
05.03.18
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
SEC FY2018 Examination Priorities!
On Feb. 7, the Securities and Exchange Commission’s Office of Compliance Inspections and
03.08.18
Six Reasons Why You Are Not Attracting New Assets
“Solid long-term performance?” Check
“Consistent investment approach?” Check
“Continuity of
03.08.18
May 2024 Issue
For those of you that missed our LinkedIn webinar that went deeper into our feature from last
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