News and Events
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.
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.
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.
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.
ComplianceCasts: Compliance &
Embracing Technology To Help Manage Compliance Responsibilities
Email Archiving Systems, Non-hosted Software Solutions, Business Continuity Plans, Managing IT Certifications, The CLOUD
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?
Ascendant Compliance Alert! Ascendant's Keith Marks quoted in Thomson Reuters News & Insight "SEC Reviews 'Plain-English' Brochures For First Time"
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.
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 Compliance Alert! Ascendant's "Creating A Culture of Integrity Conference is SOLD OUT! Join us in San Antonio, March 5-7, 2012
Ascendant Compliance Alert! Family Office Final Rule Highlights; click here to view PDF.
ComplianceCasts: Identification of
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.
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
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 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"
ComplianceCasts: Identifying, Evaluating
Disclosing Indirect Compensation
Indirect Compensation Received From Third Parties; Pay to Play; DOL/ERISA
Broker Dealer and Dual Registrant ComplianceCasts: Identifying Dual
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
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.
Trading: Oversight of the Trading Process
Advanced Trade Blotter Review; Trade Sequencing; Allocations; Trade Errors; Soft Dollars
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>
Compliance Roundtable Network:
The Pitfalls of Improper Disclosure
Marketing and Advertising Deficiencies; Performance Reporting; Websites; Brochures
Broker Dealer and Dual Registrant ComplianceCasts: Impact of
Fiduciary Responsibilities on the Way Dual Registrants and IAs Conduct
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
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: 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.