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

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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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

Risk Management Update: Risk Management Steps for Dealing with Inadvertent Custody

Determining whether or not your investment advisory firm has custody is not an easy task, but it is necessary.  While having custody of client assets is not prohibited under Rule 206(4)-2 of the Investment Advisers Act of 1940, as amended (the “Custody Rule”), having custody without adhering to the...

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Risk Management Update: Compliance Year-End Preparation Checklist

It’s time to start thinking about all the compliance projects that need to be completed before the end of the year.  While the Securities and Exchange Commission (“SEC”) slowed their pace on adopting new regulations during 2017, they continue to bring enforcement actions against investment advisers...

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New York’s Cybersecurity Requirements for Financial Services Companies

In 2017, the State of New York’s Department of Financial Services (“DFS”) adopted new requirements for financial services companies (“Covered Entities”)[1] to create and maintain robust cybersecurity policies and programs in a continuing effort to thwart cybercrimes and large scale cyber-attacks,...

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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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