April 2014 - Focus 1 Associates LLC

Focus 1 Associates LLC > RIA Compliance Blog > 2014 > April

Simons Says: New Variations on the Traditional Exam

2014/04/21

We all know that the SEC’s examination numbers for FY 2013 were abysmal, 8% to 9% of the investment adviser population, depending on whose numbers you use, or an exam every 11.1 to 12.5 years, on average. Since we know … Read More ›

Compliance Readiness 2014 – Part 1 – the first five things we suggest you do!

2014/04/21

Given all the recent news concerning the SEC’s current examination initiatives, it makes sense to be prepared. As John Wooden so famously put it, “Failing to Prepare is Preparing to Fail,” and as my colleague always says, “If you are … Read More ›

Monthly Archives: April 2014