Latest videos

EB 5 Compliance

With Kurt Nuñez, Compliance Consultant | EB-5 is growing rapidly and with that comes increased regulatory oversight. CCLS is experienced and can help.

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Latest videos

Preparing for a Regulatory Exam

With Kurt Nuñez, Compliance Consultant | Preparing for a regulatory exam can be overwhelming. Watch to learn how CCLS can help.

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Performance Advertising

March 09, 2016

With Tina L. Mitchell, Lead Sr. Compliance Consultant | Performance advertising is a high focus area for SEC exams. Press play to learn more.

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Compliance Programs

March 09, 2016

With Craig Watanabe, CSCP, Senior Compliance Consultant | Compliance programs are required for broker-dealers and investment advisers. Click here to learn how CCLS can help.

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Annual Reviews

March 09, 2016

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Cybersecurity

November 01, 2015

With Craig Watanabe, CSCP Senior Compliance Consultant |   Cybersecurity continues to be a hot topic for regulators. Watch to find out what you need to do.

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