On April 18, Chairman Clayton addressed an open meeting of the Commission on standards of conduct for broker-dealers and investment advisers. The Chairman outlined the objectives as three-fold: “First, enhance retail investor protection and decision making by: Raising the standard … Read More ›
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 ›
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 ›