Simons Says: Common Deficiencies. Why? Because People Don’t Get It!
Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC March 29, 2017 On February 7, 2017 the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert on The Five Most Frequent … Read More ›