Risk Management Updates

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

Publications

View CCLS’ contributions to industry publications.

Latest Risk Management Update

Risk Assessments are Essential To Healthy Compliance Programs

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Featured Publication

NSCP Currents - Compliance Year-End Preparation Checklist

Featured in the December 2017 edition of the National Society of Compliance Professionals ("NSCP")  Currents  publication, our Lead Senior Compliance Consultant,  Tina Mitchell , provides guidance on compliance and what you should be thinking about to prepare for 2018. 

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Risk Management Updates

Resources for Compliance Professionals - Your 2018 Guide

This year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update in February. The examination priorities were in a new brochure format, with a distinct section covering the five main principles...

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Form ADV Tips: What You Should Think About Before Filing

Registered investment advisers (“RIAs”) that have a fiscal year end of December 31st are currently faced with the impending deadline of March 31st for filing their annual amendment to Form ADV. While in the past RIAs may have begun reviewing their Form ADV for updates in March, this year needs to...

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How SEC Issued Investor Bulletins Can Help Your Firm

For almost a decade, the Securities and Exchange Commission (“SEC”) has been issuing write-ups focused on providing investors with timely information on investment frauds and scams (“Investor Alerts”), along with education on various investment topics (“Investor Bulletins”) (both types referred to...

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Publications

NSCP Currents - What Advisors Need to Do for Upcoming Changes to Form ADV

Featured in the July 2017 edition of the National Society of Compliance Professionals ("NSCP") Currents publication, our Lead Senior Compliance Consultant, Tina Mitchell, describes the essentials for advisors to prepare for the upcoming changes to Form ADV. 

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Wolters Kluwer - Today's Challenges for Servicing Aging Clients

September/October 2016

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Financial Planning - When Building a Website, Lose the Generic Content

July 2016

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