SEC Risk Alert: Regarding Fee and Expense Issues

  Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers The Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission’s National Exam Program issued a Risk Alert on April 12, … Read More ›

Simons Says: Is the DOL Fiduciary Rule Dead?

Timothy M. Simons, CFA, CIPM, CSCP Member Focus 1 Associates LLC March 28, 2018   Is the DOL Fiduciary Rule Dead? The correct answer is, “pretty much.” On March 15, 2018, the Fifth Circuit Court of Appeals, vacated (that means … Read More ›