CCLS Blog Spotlight

Why Modern Firms Need to Understand Virtual Currency (Including Cryptocurrency)

Though once thought no more than a digital curiosity, a passing Millennial trend, or something only used by criminals in illicit, internet-based black markets, so-called virtual currency (which includes cryptocurrency, like the well-known Bitcoin), has become a staple of the modern financial world... Read More
CCLS Blog Spotlight

What We Can Learn From the Recent $26 Million Settlement from LPL Financial LLC

The importance of having  proper policies, procedures and controls in place to ensure your firm is in compliance before regulators come knocking cannot be overstated — and every few months it seems, an example finds its way into the news to underscore just why compliance is something that should... Read More

Educating Aging Investors - Millennial to Baby Boomer Generations

June 07, 2018

 

[UPDATE] On June 21st, 2018: The U.S. Court of Appeals for the Fifth Circuit issued a mandate today that vacated the DOL Fiduciary Rule.

With over 20% of the U.S. population projected to be over the age of 65 by 2030 (compared to 13% in 2010), protection of aging investors continues to be a...

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5 Compelling Reasons to Seek Outsourced Compliance Services

May 02, 2018

For many firms, the idea of hiring an outsourced compliance consultant or paying for outsourced compliance services doesn’t always seem palatable. After all, the cost of hiring outside contractors certainly isn’t low, and for many firms, especially when starting out, there is pressure to avoid...

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Aging Client Considerations at Top of 2018 SEC Exam Priorities

April 25, 2018

The SEC has released its 2018 examination priorities, and the focus on, and protection of, aging clients, and considerations related to such clients (as a subset of retail investors generally), is a continuing theme.

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Preventative Regulatory Compliance — Save Time and Money (and Headaches) up Front

April 11, 2018

“An ounce of prevention is worth a pound of cure,” and nowhere is that more applicable than in the world of finance.

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2018 Investment Adviser Compliance Conference - Discussions with the SEC

April 04, 2018

The Core Compliance℠ team recently returned from the IAA National Conference, which took place in Washington, DC, on March 15 & 16. 

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Annual vs Other Than Annual Form ADV Amendments 

March 14, 2018

With the recent updates to the requirements for Form ADV, many firms are wrapping up the preparation for their Form ADV Annual Amendment filing. 

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Standing Letters of Authorization (SLOA), the SEC Custody Rule, and Form ADV

March 07, 2018

On the Form ADV, there are two sections where a firm must declare whether or not they have custody, and if so, how much custody the firm has. Specifically, this is a part of Item 9 of Form ADV Part 1 – the amount of assets and the number of clients for which they’re deemed to have custody. 

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Don't Procrastinate - Start Preparing to File the Newly Amended Form ADV Today

February 07, 2018

While it’s still early in the year, it’s easy to continue to push the Form ADV annual amendment to the side. However, with these new changes, a firm that doesn’t prepare now is setting itself up for potential penalties or worse down the road.

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