Trust but Verify….

  Linda F. Beckmann, CSCP Managing Member Focus 1 Associates LLC   The Securities and Exchange Commission (“Commission”) fined Cantella & Co. (“Cantella”) $100,000 in an administrative proceeding released February 23, 2016 for using a third-party model’s performance data without … Read More ›

Webinar: DOL Fiduciary Rule Impact On Investment Advisers

  DOL Fiduciary Rule Impact On Investment Advisers   Wednesday, May 4 12pm Eastern / 9am Pacific   Focus 1 Associates and Hardin Compliance Consulting present a COMPLIMENTARY webinar covering what investment advisers need to know about DOL’s new “Conflict … Read More ›

Simons Says: What’s Hot, and What’s Not?

The question that I am asked most often is, “What are the SEC’s current hot topics?”  That can be a difficult question to answer, depending on the SEC region that the individuals work in and the cases that the SEC … Read More ›

Compliance Program: Tools & Tips

  By Monica Bullard, CPA, CSCP Managing Member Focus 1 Associates LLC           Important items to note: Material changes to the 2016 Program Template are outlined in the Executive Summary Tab, under “First Quarter Review.” Example … Read More ›