CCLS Blog Spotlight

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

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

2018 Investment Adviser Compliance Conference - Discussions with the SEC

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

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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How to Get Started On Your Form ADV Annual Amendments

January 10, 2018

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...

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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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