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.

November 2011

Ascendant Compliance Alert! Ascendant's consultants EJ Yerzak and Keith Marks' article "Records Management for Investment Advisers" is published in Practical Compliance & Risk Management for the Securities Industry, a publication by Wolters Kluwer Financial Services, Inc..  Download your copy here.

Ascendant Compliance Alert! Introducing podcasts: Ascendant's ComplianceCasts Minute is a free resource for Compliance Officers on the go. These concise online audio recordings are several minutes in length to keep you at the top of your game without running into overtime on your already busy day. Become a compliance commuter and conveniently listen to a ComplianceCasts Minute while on the road, on the train, or in the office on your mobile device, digital media player, or computer. Ascendant compliance consultants break down recent securities regulations and emerging trends, explain the latest SEC enforcement actions and how they may affect you, and provide compliance tips to enhance your policies and procedures.

Ascendant ComplianceCasts: Compliance & Technology
Embracing Technology To Help Manage Compliance Responsibilities
Email Archiving Systems, Non-hosted Software Solutions, Business Continuity Plans, Managing IT Certifications, The CLOUD

Ascendant Broker Dealer and Dual Registrant ComplianceCasts: 
New SEC Approach: Incorporating Enterprise Risk Management Into Your Risk Assessment
Senior Management Interaction With Compliance; Empowering the CCO; FINRA's and OCIEs New Outlook on Risk Assessments and How It Impacts Your Supervisory Program and Procedures; Making Your Risk Assessments and WSPs Effective Tools; Document Request Letters: What Are the Regulators Asking For and the Impact on FINRA/ SEC Yearly Exam Priorities?

October 2011

Ascendant Compliance Alert! Ascendant's Keith Marks quoted in Thomson Reuters News & Insight "SEC Reviews 'Plain-English' Brochures For First Time"

Ascendant Compliance Alert! Ascendant's Spring Conference "Today's Compliance Challenges: New Regulations plus Enterprise Risk Management Responsibilities" Agenda and Speakers Announced

Ascendant ComplianceCasts: The Basics of Compliance
Key Elements of the Investment Advisers Act
The Fiduciary Standard, Compliance Program & Code of Ethics Rules, SEC Jurisdiction & Examination Authority, Custody, Required Books & Records

Ascendant Compliance Alert! Ascendant's 2012 Form ADV Checklist and Templates are here!  Get your copy today.

September 2011

Ascendant Compliance Alert! John Walsh to retire from SEC's OCIE, announced to sold out audience at Ascendant Compliance Conference; click here to view release.

Ascendant ComplianceCasts: Roundtable Network
Back from Summer Vacation: Now What?
ComplianceCasts Third Annual Regulatory Roundup; Current Events; Priorities

August 2011

Ascendant Compliance Alert! Ascendant's "Creating A Culture of Integrity Conference is SOLD OUT!  Join us in San Antonio, March 5-7, 2012

Ascendant ComplianceCasts: Who's Paying Who
Regulation D; Finders' Fees; Placement Agents; Self Offerings

July 2011

Ascendant Compliance Alert! Family Office Final Rule Highlights; click here to view PDF.

Ascendant ComplianceCasts: Identification of Conflicts of Interest
Ascendant welcomes guest speakers Elizabeth Knoblock and Stephanie Monaco, Partners at Mayer Brown to discuss Solicitation Agreements; Side-by-Side Trading; Performance Fees; Enhancing Disclosures and more.

Ascendant Broker Dealer and Dual Registrant ComplianceCasts: 
Developing Due Diligence Reviews for IA and BD Product and Service Providers
Conducting Effective Due Diligence on Sub-advisors; Impact of Filings with CRD -- IA and BD; Documentation; Product Due Diligence and Complex Due Diligence Issues Regarding Private Offerings; Check Lists/Sample Templates That Work; Policies That Pass FINRA Inspections; What FINRA Expects in Your WSPs; Make Third Party Due Diligence Effective

June 2011

Ascendant's John Gentile, Keith Marks and John McGovern speak at the NSCP East Coast Regional Meeting and Labs held in New York City. John Gentile addresses Broker Dealers on "Testing and Risk Assessments," Keith Marks speaks regarding "Writing an ADV;" and John McGovern addresses Investment Advisers and Hedge Fund Managers on "Testing and Risk Assessments."

Ascendant ComplianceCasts: Roundtable Network
SEC Examination Focus
Recent Examination Priorities; Focus of Most Recent Exam Letter; Deficiencies Around Custody

May 2011

Ascendant Compliance Alert! On May 25, 2011, the SEC voted to adopt the new Whistleblower Rules pursuant to Section 922 of the Dodd-Frank Act. Ascendant breaks the rules down for you to explain what they are and how they will affect your firm.  Click here to read more

Ascendant Compliance Conferences + Education announces partnership with CFA Institute for the fall compliance conference: Creating a Culture of Integrity: Ethics, Fiduciaries and a Self Regulatory Organization, taking place in San Diego, CA, September 14-16, 2011.

Compliance11 hosts their User Conference at the Sears Tower in Chicago. Ascendant's Keith Marks, speaks on the topic of "Successful Regulatory Exams"

Ascendant ComplianceCasts: Identifying, Evaluating and Disclosing Indirect Compensation
Indirect Compensation Received From Third Parties; Pay to Play; DOL/ERISA

Ascendant Broker Dealer and Dual Registrant ComplianceCasts: Identifying Dual Registrant Concerns
The New Custody Rule and Its Implications; WSPs -- What's Common Between the BD and IA; What Haven't You Thought Of? Here's a List

April 2011

Ascendant welcomes EJ Yerzak, Compliance Services Consultant, to the Connecticut office.

Ascendant's partners, Keith Marks and John Gentile are featured speakers at the NSCP Regional meeting in Boston, MA.

Ascendant ComplianceCasts: Tracking Trading: Oversight of the Trading Process
Advanced Trade Blotter Review; Trade Sequencing; Allocations; Trade Errors; Soft Dollars

March 2011

Ascendant's Compliance Conference: Focus on Regulatory Changes. The 9th in Ascendant's Conference + Education conference offerings, this two and a half day conference was once again an affirmation of Ascendant's level of expertise in the industry and offered many opportunities for attendees to network and ask questions to leaders in the industry, the SEC and FINRA. 

Ascendant announces partnership with Compliance11. Ascendant is pleased to announce our recent partnership with Compliance11, Inc. "The partnership brings together the in-depth compliance knowledge and insight that Ascendant is so well known for, along with the technology expertise and software capabilities of Compliance11. What results is something that has never been done before, something truly remarkable."  Find out more>

Ascendant introduces another tool for completing the new Form ADV Part 2: Checklists! Ascendant's checklists are designed to help you sleep better at night knowing you've covered all your bases.  Use the fillable PDF's as a working tool now and in years to come.  Find out more>

Ascendant Compliance Roundtable Network: The Pitfalls of Improper Disclosure
Marketing and Advertising Deficiencies; Performance Reporting; Websites; Brochures

Ascendant Broker Dealer and Dual Registrant ComplianceCasts: Impact of Fiduciary Responsibilities on the Way Dual Registrants and IAs Conduct Business
Adapting Your Distribution Channel to a New Fiduciary Standard: What to Think About Now; Steps You Should Take Now to Prepare Each Distribution Channel; Impact on Proprietary Product Distribution; Potential Impact on IAs and Their Affiliates; Best Execution Implications; Disclosure Considerations; 12b-1 initiative and impact

February 2011

New Office added on the West Coast. Ascendant adds to its New York and Connecticut offices a new San Francisco office to expand its options for clients. Read More >

Ascendant welcomes Kevin Loria, Vice President and Compliance Services Consultant, New York, and Larry Cowen, Vice President and Managing Director, San Francisco. Read more >

Ascendant ComplianceCasts: The Changing Landscape of Form ADV
Registration; Creating and Maintaining Proper Disclosure; New Custody ADV Filing Requirements

January 2011

Ascendant ComplianceCasts: Fifth Anniversary of the Annual Review Requirement. This session reviews lessons learned, how it's evolved, new focuses, a review of pay to play and section 13 filings.