On July 11, 2018, the SEC’s Office of Compliance and Examinations (“OCIE”) issued the third Risk Alert for the 2018 fiscal year, “Compliance Issues Related to Best Execution by Investment Advisers,” following “Overview of the Most Frequent Advisory Fee and … Read More ›
On June 19, 2018, the SEC published a draft strategic plan for comment that outlined the Commission’s goals for the next four fiscal years, 2018 through 2022, and asked the public for comments on those goals. The core principles that … Read More ›
Krista S. Zipfel Director Focus 1 Associates LLC July 19, 2018 The sale of Advisor Solutions Group’s key assets adds Krista Zipfel, CFA to Focus 1’s senior leadership team … Read More ›