October 2016 - Focus 1 Associates LLC

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

Simons Says: To Outsource CCOs, or Not? That is the Question!

2016/10/25

Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC October 25, 2016 Background While I was reviewing the amended Form ADV that will be required to be used for every filing after October 2017, … Read More ›

SEC Exams are Escalating

2016/10/06

Although only small percentages (around 10%) of firms are actually examined each year, the SEC has found ways to cover more ground with the resources they have. From a recent industry report, “SEC exams are on the rise with … Read More ›

Monthly Archives: October 2016