News + Events 2010
December 2010
Ascendant ComplianceCasts: Special 2-Hour Roundtable Network Session: Ethics After the Economic Crisis: A Moral Recovery. Federal sentencing guidelines; ethics vs. compliance; rules of professional conduct; decision-based learning scenarios, including case studies.
November 2010
Ascendant ComplianceCasts: Clarifying the Confusion Around Custody. Custody rule changes, custody FAQs, safeguards, procedural updates and SEC focus are discussed in this timely session.
Ascendant partner Keith Marks facilitates workshop sessions at the National Meeting for NSCP in Baltimore, MD.
October 2010
Ascendant ComplianceCasts: Performing a More Effective Risk Assessment Process and Preparing for Due Diligence Reviews. Ascendant experts, discuss critical compliance and operational issues regarding identifying conflicts of interest, mapping risks to policies, and being prepared for surprises. Hot topics, current news and attendee participation highlight this session.
Ascendant consultants Keith Marks and Korrine Kohm featured in Charles Schwab's.
September 2010
Ascendant Compliance introduces its FREE Form ADV Part 2 Template and Guide!
Ascendant ComplianceCasts: The Nexus of Portfolio Management, Trading and Compliance Best Execution. Ascendant partner Chris Hardy, joined by Steve Lentz from Faegre and Benson, discuss critical compliance and operational issues regarding trade sequencing, soft dollars, client mandates and restrictions, billing and valuation. Hot topics, current news and attendee participation highlight this quarterly session
August 2010
Ascendant ComplianceCasts: The Nexus of Portfolio Management, Trading and Compliance Best Execution. Ascendant partner Chris Hardy, joined by Steve Lentz from Faegre and Benson, discuss critical compliance and operational issues regarding trade sequencing, soft dollars, client mandates and restrictions, billing and valuation. Hot topics, current news and attendee participation highlight this quarterly session
Ascendant Compliance Partner Chris Hardy speaks at the Schulte Roth CFO Hedge Fund meeting.
Ascendant Compliance Partner Keith Marks speaks at the Charles River Development Client Conference.
July 2010
Ascendant ComplianceCasts: The Nexus of Portfolio Management, Trading and Compliance Best Execution. Ascendant partner Chris Hardy, joined by Steve Lentz from Faegre and Benson, discuss critical compliance and operational issues regarding trade sequencing, soft dollars, client mandates and restrictions, billing and valuation. Hot topics, current news and attendee participation highlight this quarterly session
Ascendant Compliance Partner Chris Hardy speaks at the Schulte Roth CFO Hedge Fund meeting.
Ascendant Compliance Partner Keith Marks speaks at the Charles River Development Client Conference.
June 2010
We’ve
Moved
To support our expanding
services and staff Ascendant has moved its New York City office to a
larger, more convenient mid-town location. Please make a note of our
new address:
Ascendant Compliance Management
546 Fifth Avenue, 15th Floor
New York, NY 10036
(212) 956-9142
Ascendant announces John McGovern Managing Director is working from the new Ascendant New York City office.
Ascendant’s Keith Marks participates on a panel presenting, “Managing Conflicts of Interest” for hedge funds at the NSCP regional conference in New York, NY.
Ascendant ComplianceCasts Roundtable Network: Enforcement and Litigation Review -- The SEC's New Direction and Focus. Each calendar quarter a ComplianceCasts® session is dedicated to the Ascendant Compliance Roundtable Network. June’s session, led by Ascendant partners Keith Marks and Chris Hardy, focuses on SEC Enforcement Division Changes, Lessons from Recent Disciplinary Actions and demonstrates some of the areas being most critically reviewed by the SEC. Hot topics, current news and attendee participation highlight this quarterly session.
May 2010
Ascendant ComplianceCasts: The Nexus of Portfolio Management, Trading and Compliance Best Execution. Ascendant partner Chris Hardy, joined by Steve Lentz from Faegre and Benson, discuss critical compliance and operational issues regarding trade sequencing, soft dollars, client mandates and restrictions, billing and valuation. Hot topics, current news and attendee participation highlight this quarterly session
Ascendant Compliance Partner Chris Hardy speaks at the Schulte Roth CFO Hedge Fund meeting.
Ascendant Compliance Partner Keith Marks speaks at the Charles River Development Client Conference.
April 2010
Ascendant ComplianceCasts: How to Train Your Sales Staff. Panelists Korrine Kohm and Chris Hardy of Ascendant provide practical guidance to CCOs and their operations and management partners on critical compliance marketing issues. Topics include marketing distribution, client communications, solicitor arrangements, Reg. D offerings and social networks.
March 2010
Korrine Kohm joins Ascendant Compliance Management as Vice President working out of the New York office.
Linda Noyes joins Ascendant Compliance Management as State Services Specialist.
Santa
Monica, CA: Ascendant
Compliance Management Conferences + Education presents"A
Bold New World of Compliance: 2010," March 10-12 at Loews in Santa
Monica, California.Representatives
from the SEC answer questions regarding the direction of compliance in
2010. Among the many timely sessions is a special presentation,
"Training as a Certified Fraud Examiner" and how to learn to recognize
strategies to become a smarter and more successful CCO. Read more >
Complinet UK Limited is
registered in England. Registered office at Vintners Place, 68 Upper
Thames Street, London EC4V 3BJ. Company number 3170722. VAT No. 749 324
021.
Complinet Inc is a corporation registered in Delaware, USA.
Ascendant ComplianceCasts Roundtable Network: A Mock SEC Examination / Analyzing the SEC's Standardized Request Letter. Each calendar quarter a ComplianceCasts® session is dedicated to the Ascendant Compliance Roundtable Network. March's session, led by Brian Kawakami and Keith Marks of Ascendant, focuses on the SEC’s standard request letter for information from investment advisers. The panelists also discuss how to conduct a mock SEC exam and how new rules and regulations may affect the process of SEC examinations. Hot topics, current news and attendee participation highlight this quarterly session.
February 2010
Ascendant ComplianceCasts Roundtable Network: Disclosure Obligations and Applications of the Fiduciary Duty. Steve Yadegari, SVP, General Counsel and CCO of Cramer, Rosenthal, McGlynn, joins Ascendant's Sal Papa to discuss Form ADV: Offering Documents, Prospectuses and Financial Reporting. They provide practical guidance to registered investment advisers on Form ADV Part 2 and other core disclosure documents.
Ascendant’s Keith Marks presents “Identifying Conflicts of Interest” at the NSCP regional conference in Boston, MA.
Ascendant's Keith Marks speaks on "Protecting Confidential Client Communications: Getting Ahead of the Massachusetts Data Protection Rule," a jointly sponsored IA Watch/BD Week webinar.
January 2010
Ascendant Compliance Partner Keith Marks speaks to the New England Broker Dealer Investment Advisor Association on privacy and information security programs in response to new Massachusetts regulations, in Boston Ma.
The SEC responds to an Ascendant question regarding new custody rule. Read the response >
Ascendant Compliance Partner Keith Marks speaks at the AICPA Advanced Personal Financial Planning Conference 2010 on Regulatory Compliance for Investment Advisors: As a New Order Takes Shape
Ascendant ComplianceCasts: Comprehensive Forensic Testing. Keith Marks, Partner with Ascendant Compliance Management, and Jason Vazquez, Vice President and Head of AML Compliance with Deutsche Asset Management, discuss practical examples of and suggestions for forensic testing of trade blotters, custody safeguards, privacy, AML and emails, among other topics. More on ComplianceCasts >
