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

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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Featured Publication

Wolters Kluwer - Today's Challenges for Servicing Aging Clients

September/October 2016

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Risk Management Updates

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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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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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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