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 ›

CCO Speaks about Recent SEC Exam

  CCO Speaks Insights from a Recent SEC Examination   Thursday, June 9 12pm Eastern / 9am Pacific 1-Hour Webinar Space is limited. Reserve your spot today! Save the date for the first webinar of our new series, “CCO Speaks.” … Read More ›

Trust but Verify….

  Linda F. Beckmann, CSCP Managing Member Focus 1 Associates LLC   The Securities and Exchange Commission (“Commission”) fined Cantella & Co. (“Cantella”) $100,000 in an administrative proceeding released February 23, 2016 for using a third-party model’s performance data without … Read More ›

Webinar: DOL Fiduciary Rule Impact On Investment Advisers

  DOL Fiduciary Rule Impact On Investment Advisers   Wednesday, May 4 12pm Eastern / 9am Pacific   Focus 1 Associates and Hardin Compliance Consulting present a COMPLIMENTARY webinar covering what investment advisers need to know about DOL’s new “Conflict … 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 ›

Compliance Program: Tools & Tips

  By Monica Bullard, CPA, CSCP Managing Member Focus 1 Associates LLC           Important items to note: Material changes to the 2016 Program Template are outlined in the Executive Summary Tab, under “First Quarter Review.” Example … 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 ›

CFA Institute GIPS Notification Form Updated

Written by our GIPS Knowledge Partner: Additions/Modifications: In the “Primary Contact” section, a new question was added stating that CFA Institute “would like to support your firm’s ongoing success” and asking whether they can contact you. It expects a simple … Read More ›