Risk Management Updates

Learn about the lastest changes in compliance and risk management for the financial industry.


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Latest Risk Management Update

What Advisers Need to Do to Prepare for Upcoming Changes to Form ADV

In their continued quest to obtain “big data” from registrants, the U.S. Securities and Exchange Commission (“SEC”) issued a final rule in August 2016, which significantly expands the information required in Form ADV.[1]  The compliance date for the rule is October 1, 2017, and all investment...

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Featured Publication

Wolters Kluwer - Today's Challenges for Servicing Aging Clients

September/October 2016

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Risk Management Updates

Compliance Protocols for Dealing with Current Cybercrimes

According to a Data Breach Investigations Report published by Verizon in 2016,[1] there has been a definite upward trend in the number of people clicking on “phishing” emails since 2014.  Phishing is a type of social engineering used by hackers to trick people into introducing a virus into their...

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2017 Solutions for Compliance Professionals

At the beginning of every year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) identifies its examination priorities for the coming year. These priorities, which are based on perceived heightened risks to investors and the U.S. capital...

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Beyond the DOL Rule - A Look at SEC Expectations for Advisers Managing Retirement Accounts

The fate of the Department of Labor’s (“DOL”) Conflicts of Interest rule (the “DOL Rule”) is uncertain. However, regardless of whether the rule gets delayed or repealed, the Securities and Exchange Commission (“SEC”) continues to focus on the services being provided by investment advisers to...

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