December 2008

Ascendant presents ComplianceCasts Roundtable Network: ”The Regulatory Year in Review.” Moderated by Ascendant’s Jackie Hallihan, featuring Steve Stone of Morgan Lewis and Tom Lemke of Legg Mason. Current news and issues includes: SEC rule-making agenda; enforcement in 2008 and issues for 2009; valuation; trading; counterparty and custodial risk. 
More on ComplianceCasts >

 
November 2008

Ascendant presents ComplianceCasts: ”Ethics From the Compliance Perspective.” Focus is on personal trading, insider trading, gifts and CCO enforcement. More on ComplianceCasts >

 
October 2008

Ascendant’s Sal Papa conducts "Risk Assessment Roundtable" at BAM Advisor Services Annual Conference, October 27 and 28.

Ascendant’s Keith Marks speaks about "Tone at the Top" at the 9th Annual Charles River Client Conference on October 20, 2008.

Ascendant’s Joe Hanczor speaks at American Corporate Counsel Association regional hedge fund meeting on Risk Management in the Hedge Fund Industry.

ASCENDANT PRESENTS INAUGURAL COMPLIANCECASTS. Customized, web-based curriculum for IAs, BDs and hedge funds comes online. Training focuses on key areas of interest for compliance, operational and management personnel and integrates Annual Review compliance concepts, appropriate testing considerations, and SEC examination issues for a complete understanding of all compliance issues. Participants join via our secure link to view state-of-the-art active presentations and participate in real-time responses with panelists and other participants. Inaugural ComplianceCast is ”Risk Assessment and Conflict Identification” with Joe Hanzcor and Keith Marks, focusing is on how to conduct an effective risk assessment to protect your firm and meet SEC expectations. 
More on ComplianceCasts >

 
September 2008    

Ascendant’s Keith Marks presents "Updating Form ADV" at Charles Schwab Institutional IMPACT 2008 on September 24 (as profiled in IMPACT Daily, published by Financial Planning Magazine).

Ascendant announces ComplianceCasts, a customized web-based training program addressing the educational needs of compliance officers and staff within investment  advisers, hedge funds and broker dealers. Run by leading industry specialists, ComplianceCasts provide insightful and stimulating training on the most current risk management and regulatory issues.

TD Ameritrade publishes article, "Paying for Referrals: What you need to know" authored by Keith Marks of Ascendant Compliance Management

SAN DIEGO, CA: Ascendant Compliance Management Conferences + Education presents "The Integration of Compliance with Operations and Business Management," September 17-20, 2008 at The Loews Coronado. Cutting-edge topics that identify strategies which tie operations and business management to compliance are the focus of this conference.  READ MORE >

 
August 2008

Lisa Caruso joins Ascendant Compliance Management's New York Office.

July 2008  

As part of Ascendant's special events evenings attendees to the Fall Compliance Conference in San Diego are invited to a sunset dinner cruise aboard The California Princess. The three hour cruise covers 25 miles of scenic San Diego skyline allowing participants an opportunity for some upscale networking after a full day of compliance training.

June 2008  

Joe Hanczor, Esq., Joins Ascendant Compliance Management. Previously Joe has served as legal counsel and compliance director for major financial services firms including Merrill Lynch, UBS and Smith Barney/Shearson Lehman Brothers.  READ MORE >

May 2008

Once again, the SEC is conducting CCOutreach seminars in all the Commission's regional offices. Highlights from two recent CCOutreach seminars hosted by the New York Regional Office and the Boston Regional Office focused on current hot topics and enforcement actions, investment advisor examination statistics for 2007, new and proposed regulations, and top deficiencies identified in recent examinations. READ MORE > 

April 2008

NEW ORLEANS, LA: Ascendant Compliance Management’s Conference + Education continues its series, “The Integration of Compliance with Operations and Business Management” at Ritz-Carlton, New Orleans. 

Before the conference begins, Ascendant Compliance Management partners, conference attendees, sponsors and speakers volunteer with Habitat for Humanity and Parkway Partners in New Orleans to reconstruct homes in Katrina-ravaged Ninth Ward. READ MORE >

FIRMA selects industry expert Chris Hardy of Ascendant Compliance Management to speak on, “The Highlights of SEC Advertising and Marketing at FIRMA Conference in Orlando.”http://www.thefirma.org/pages/2008_conference/

February 2008  

Investment Advisor Magazine publishes article, “The New Paradigm: Operations and Compliance” by Sal Papa and Keith Marks of Ascendant Compliance Management. 
http://www.investmentadvisor.com/article.php?topic=Compliance&article=8498