Ascendant Compliance Management's Conferences + Education is dedicated to the advancement of compliance professionals in the investment management industry. You will find that our focus covers compliance in an industry setting. After all, as regulators often pronounce, you need to understand your entire firm in order to monitor compliance.

Our conferences will continue to have the best securities minds in the industry. Our interactive approach will follow all of the latest trends in SEC examinations, disclosure requirements, fundamentals of compliance program development, trading and soft dollar issues, books and records (including email retention), marketing and advertising, and forensic testing, among other topics.

Because we want to promote your ability to conduct an Annual Review in an insightful and rich manner, our focus will lead to additional discoveries. Sessions on practice management, fiduciary obligations, legal and business considerations, and operations technology will provide you with a broader industry knowledge than available elsewhere. In combination, our core compliance presentations and real world business focus will give you the competence, knowledge and experience that you and your business partners expect.

This intermediate to advanced program will explore in depth each item on the agenda. The goal of this program is to equip compliance professionals with the necessary tools for developing and maintaining the highest standards of business practice management.

This conference is designed for:

Investment adviser compliance and legal professionals, senior management and operations personnel. A fundamental understanding and familiarity with the Investment Advisers Act of 1940 and The Securities and Exchange Act of 1934 is considered necessary to partake in the program.

Dress:

Resort Casual

Agenda:

To ensure that the most current topics are offered at this conference and the program is of the greatest benefit to our attendees, speakers and the agenda may be updated.

Cancellation/Refund Policy:

Registration cancellations received before August 25th will receive a full refund of any registration fee paid, minus an administration charge of $150. After September 25th, there will be no refunds given, but upon receipt of a written explanation of the cancellation, the registration fee paid will be credited towards a future Ascendant conference or service, valid for one year. Substitutions can be made at any time before the conference.

Come join us in Napa. Enrich yourself in the dynamic environment of Ascendant Compliance Management's Conferences + Education.

If you have any questions call Sally Cole at 1-860-435-2255, x100, or send her an email at scole@ascendantcompliance.com