Simons Says: Déjà Vu All Over Again, Version 2.0

Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC September 29, 2017   September 14, OCIE issued a Risk Alert On September 14, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk … Read More ›