CCLS Blog Spotlight

5 Types of Documentation You Should Be Reviewing Annually

With 2017 rapidly coming to a close, you’re probably thinking about Christmas and your end of year vacation. You also may be putting the last touches on your company’s annual review. The Securities and Exchange Commission (“SEC”) has required advisory firms to conduct annual reviews since the...

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Through our client communications, trainings and monthly Risk Management Updates, we provide guidance on compliance...

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Top 4 Tips for Getting the Most Out of IA Compliance: The Full 360 Degree View West

The first CCLS/ IA Watch Conference is taking place this November 2nd, just a few short weeks away.

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