Simons Says: SEC 2018 Examination Priorities

Timothy M. Simons, CFA, CIPM, CSCP Member Focus 1 Associates LLC January 31, 2018   SEC 2018 Examination Priorities? Like the DOL Fiduciary Rule, the SEC’s examination priorities for 2018 are not readily available. Since 2014, the SEC has released … Read More ›

RIA Compliance Calendar – Filing Deadlines 2018

SEC Regulatory Deadlines for Investment Advisers The information provided in this calendar is intended to help compliance officers update their regulatory calendars for 2018.  It does not address all potential regulatory reporting and compliance obligations. Additionally, please note, this calendar … Read More ›

Simons Says: Out With the Old…

Timothy M. Simons, CFA, CIPM, CSCP Member Focus 1 Associates LLC December 26, 2017   Out With the Old, In With the New: Happy Holidays to everyone. There are a few things that have piqued my interest these last few … Read More ›