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 ›

RIA Compliance “To Do” list for 2016

SEC Regulatory Deadlines for Investment Advisers Created in conjunction with Hardin Compliance Consulting.     To Do List: General and On-Going Obligations: ADV Part 1 Investment advisers must amend Part 1 of their Form ADV promptly during the year if certain … Read More ›