CCLS Blog Spotlight

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

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. Read More
CCLS Blog Spotlight

How to Get Started On Your Form ADV Annual Amendments

On October 1, 2017, the SEC updated and expanded the information required in the Form ADV, which means that if your fiscal year ended on December 31, 2017, it’s time for you to start thinking about your annual Form ADV amendment, which for many of you, will be your first time dealing with these new... Read More

5 Types of Documentation You Should Be Reviewing Annually

December 14, 2017

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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Annual Reviews: Suggestions for Compliance Best Practices

December 06, 2017

Annual reviews are a necessary “evil”, something that needs to be done at least once every year or even more often. Some firms conduct reviews every quarter, rather than just once a year.

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Why Those Free to Download Annual Compliance Review Checklists Aren’t Good Enough

November 22, 2017

It’s tempting, I know, to want to search online for a compliance review checklist you can simply download for the required annual review.

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3 Common Mistakes Investment Advisory Firms Make When Maintaining Compliance Programs

November 16, 2017

Regardless of size,  investment advisers need to be aware of some common, and avoidable, mistakes that are often made when maintaining  compliance programs.

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

October 16, 2017

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

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What Investment Advisers Need to Know About the SEC’s New Risk Alert

September 21, 2017

Last week, the Securities and Exchange Commission’s (“SEC”)  Office of Compliance Inspections & Examinations issued a new Risk Alert titled, "The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers" which was generated as a result of a recent...

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DOL Seeking Delay of its Fiduciary Rule until July 2019

August 09, 2017

The Department of Labor (“DOL”) has submitted a proposal to the Office of Management and Budget (“OMB”) for a delay on implementing the remaining requirements of their fiduciary rule (“DOL Rule”) until July 1, 2019, which is currently scheduled to go into effect on January 1, 2018.    The delay...

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Nevada Creates Own Fiduciary Rule

July 19, 2017

Recently, Nevada Governor Brian Sandoval signed into law Senate Bill 383 that revised current regulations for financial planners. The changes expand the definition of financial planner in NRS 628A.010 to now include broker-dealers and investment advisers in Nevada, which in turn requires such...

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