Simons Says: Changing of the Guards

Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC December 28, 2016     Fiduciary Rules As the end of 2016 nears, I would like to spend a little time talking about the SEC’s Fiduciary … Read More ›

Simons Says: Changing Custody Guidance?

Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC September 26, 2016   I want to briefly discuss a topic about which questions have arisen in the last couple of months that we thought had been … Read More ›

Simons Says: Really? A Business Continuity Rule?

Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC June 29, 2016   On December 17, 2003, the SEC hit the investment adviser industry with the final rule for Compliance Programs of Investment Companies and … 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 ›

Simons Says: Moving Forward at a Glacial Pace

DOL’s Fiduciary Rule (“the Rule”) So where do we stand on the Department of Labor’s attempt to force a new definition of “fiduciary” on anyone who touches ERISA accounts?  The proposed Rule was sent to the Office of Management and … Read More ›

Simons Says: The SEC Speaks 2016

Timothy M. Simons, CFA, CFP, CSCP, CIPM Senior Managing Member Focus 1 Associates LLC February 24, 2016   “Beyond Disclosure at the SEC in 2016” Chair White’s speech reviewed the SEC’s accomplishments for 2015, “Not only did we bring an … Read More ›