Focus 1 Associates LLC > RIA Compliance Blog > 2016 > September

Monthly Archives: September 2016

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 ›

Top 6 SEC Compliance Deficiencies

Did you know?   1. Compliance Rule 2. Disclosure 3. Fiduciary Duty 4. Code of Ethics 5. Advertising Rule 6. Custody Rule   This fact was presented by the SEC’s Office of Compliance Inspections and Examinations’ (OCIE’s) assistant director, Renee … Read More ›