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 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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Featured Publication

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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Risk Management Updates

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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Important Risk Management Protocols to Consider for Alternative Investments

Risk Management Update September 2017 In an ongoing effort to diversify into non-market correlated investments, more and more advisory firms are offering strategies that include alternative investments. This term is broadly used in the industry and encompasses several types of assets, including but...

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What Advisers Need to Know About Wyoming's New Investment Adviser Regulations

On July 1, 2017, the State of Wyoming's new regulations became effective, which require certain investment advisers ("IAs) and investment adviser representatives ("IARs") to register with the State in order to provide investment advice in Wyoming. [1]

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