January 2012

Ascendant Compliance Alert! Ascendant consultant Korrine Kohm interviewed for Reuters' article "COMPLY: Social Media Hacking Seen as Risk to Advisers" Click here.

Ascendant ComplianceCasts: Developing A Robust Risk Inventory
The Center of the (Compliance) Universe!
SEC Risk-Based Examinations, How to Identify, Manage & Mitigate Risks, Responding to Unexpected Risks, Managing Expert Networks

Ascendant Broker Dealer and Dual Registrant ComplianceCasts: 
Looking Ahead to 2012: Preparing for Your 3012 and IA 206(4)-7 Annual Reviews
2012 Examination Priorities; Enterprise Risk Management: How Does it Fit?; How to Incorporate Key Elements in Your Compliance Program; Risk Mapping to Procedures; Driving the Testing Process

December 2011

Ascendant Compliance Alert! Ascendant's consultants Larry Cowen and Keith Marks' article "Considerations for Outsourcing Compliance" is published in Compliance Review, a publication by CharlesSchwab, Schwab Advisor Services.  Download your copy here.

Ascendant Compliance Alert! Ascendant partners Jackie Hallihan and John Gentile are interviewed for BD Week's article "Factors regulators look at to help determine a firm's risk revealed" Click here.

Ascendant ComplianceCasts: Everyday Ethics
SPECIAL 2 HOUR ETHICS COURSE
Implementing A Strong Ethical Culture
Ethics & Privacy, New SEC Whistleblower Rule, SEC's TCR Database, Gifts & Entertainment Reporting

Ascendant Compliance Alert! Ascendant's partner, Keith Marks interviewed for the Wall Street Journal's article "Investment Advisers Likely To Bear Cost of More Oversight." Click here.