Excellent learning environment and beautiful surroundings. Industry experts, timely topics, interactive sessions.

Our educational programs are tailored to training compliance and legal professionals, senior management, operations and trading, marketing and research personnel, portfolio managers and internal auditors.

Each of our training programs reviews, updates and offers up-to-the-minute clarification of regulatory issues by industry professionals and the foremost legal and regulatory representatives.

The aim of Ascendant Conferences + Education is to help maintain and raise the standards of compliance to ensure that the investing public is protected. We provide the expertise for building a culture of compliance within firms and to make compliance a source of strength.

Ascendant's conferences, held in prime locations around the country, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings. In-depth interaction among conference attendees facilitates peer-learning, with guidance and instruction from our panelists and experts.

Continuing education credits are offered.

For more information on our Conferences + Education offerings please call Sally Cole, Director of Conferences + Education at 860-435-2255 or email scole@ascendantcompliance.com

Details on our current conference can be found by clicking here.

Previous conferences have included:

April 2013: Adviser Compliance and Regulations With Technology Initiatives Engineered for Maximum SEC Examination Results 
The Ritz-Carlton Naples Golf Resort, Naples, FL

September 2012: The Evolving Role of Compliance: An Expansion of Expectations: Enterprise Risk Management, Ethics, Technology, Operations and Policies and Procedures 
Hyatt Regency Scottsdale, Scottsdale, AZ

March 2012: Today's Compliance Challenges: New Regulations plus Enterprise Risk Management Responsibilities
Westin Riverwalk, San Antonio, Texas

September 2011: Creating A Culture of Integrity 
Loews Coronado Bay Resort, San Diego, California

March 2011: Focus on Regulatory Changes 
Ritz-Carlton Golf Resort, Naples, Florida

September 2010: Capitalize on Compliance: Analysis, Experience & Answers You Need 
Park Hyatt, Washington DC

March 2010: A Bold New World of Compliance: 2010 Staying on Top of Changing Regulations & Examinations, Understanding Your Fiduciary Duty
Loews Santa Monica Beach Hotel, Santa Monica, California

September 2009: A Focus on Fraud Prevention: Operations: Internal Controls & Systems to Build Client Confidence
Grand Hyatt New York City, New York

March 2009: Bridging the Gap: How to Implement Compliance Theory Into Business Operations
The Ritz-Carlton New Orleans, Louisiana

September 2008: The Integration of Compliance with Operations and Business Management
The Loews Coronado Bay Resort, San Diego, California

April 2008: The Next Step in Compliance: The Integration of Operations and Business Management
The Ritz-Carlton New Orleans, Louisiana

October 2007: The Next Step in Compliance: Bringing It All Together: The Integration of Operations and Business Management
The Silverado Napa, California

June 2007: Interactive Compliance Training: Best Business Practice Management Solutions
Millenium Conference Center New York City, New York