Focus Perspective: SEC’s Proposed Fiduciary Rule

Last month we talked about the SEC’s proposed Fiduciary Rule (as compared to the DOL’s proposed Fiduciary Rule), but since the proposals do not place a fiduciary obligation on the broker-dealer, I like SEC Commissioner Hester Peirce’s reference to a … Read More ›

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 ›

Focus Perspective: 2018 Examination Priorities!

  Our Perspective: We are glad that OCIE has identified their examination priorities for FY 2018, but somewhat disappointed that there is so little change from prior years. Cryptocurrency, ICOs, and Blockchain are fairly new, but the market is still … Read More ›

2018 Exam Priorities Announced

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2018 examination priorities on February 7, 2018. The priorities are broken down into five categories: The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations … Read More ›

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 ›