Resources

Recent Print Articles:

"Robust Product Due Diligence: It's A Necessity, Not an Option!" by John Gentile, Partner, Ascendant Compliance Management
"Beyond BYOD: Mobile Device Management and the Importance of MDM Compliance for Investment Advisers" by EJ Yerzak, Vice President of Technology, Compliance Services Consultant, Ascendant Compliance Management
"Practical IT Change Management, the CCO's Best Friend: Utilizing Change Management to Evidence Monitoring" by Tim Villano, Chief Technology Officer, Compliance Services Consultant, Ascendant Compliance Management
"Supervisory Liability and Compliance: The Risk-Oversight Tradeoff" by Brian Kawakami, EJ Yerzak and Korrine N. Kohm, Ascendant Compliance Management, in "Practical Compliance & Risk Management for the Securities Industry"
"Friend-ing Social Media: Considerations for Investment Advisers Use of Social Media Networks" by Korrine N. Kohm, Ascendant Compliance Management and Dan Haynes, The Buckingham Family of Financial Services
"Demystifying the Cloud: Electronic Storage of Records by Investment Advisors in the Cloud Computing Era" by E.J. Yerzak
"Considerations for Outsourcing Compliance" by Larry Cowen and Keith Marks, in "Schwab Adviser Services: Compliance Review"
"Records Management for Investment Advisers" by EJ Yerzak and Keith Marks, in "Practical Compliance & Risk Management for the Securities Industry"
"Pressures and Changes Around SEC Examinations" by Keith Marks and Korrine Kohm, in "Schwab Adviser Services: Compliance Review"

Interactive Compliance Resources:

Summary of Rules & Rule Changes 2012-2013

Ascendant's most recent free resource is frequently updated and includes a summary of rules and rule changes for 2012 - 2013, including filing deadlines.

Enterprise Risk Management Guide

The regulators are focused on Enterprise Risk Management. Are you prepared? Get your free guide today!

ADV Checklist and Template

Need some help completing your Form ADV Part 2? Use our template and checklists! Featured in InvestmentNews and other industry resources. Users have said "Tremendous time saver!" "Perfectly set-up!" "An incredible leg up!"

AML

The annual independent testing of your AML Program remains a top compliance priority. Our experienced staff will perform the required AML Program testing and complete a report that meets FINRA and Patriot Act rule requirements, as well as making hands-on recommendations to address any findings.

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3012/3130

Let Ascendant tackle the complexities of completing your annual rule 3012 supervisory control review. Our experienced staff will perform the required testing and complete a report that not only meets the rule's requirement, but provides practical recommendations to address any issues identified. Ascendant will also complete the annual report required by FINRA rule 3130, which is needed to accompany your CEO Certification. For many broker-dealers, April 1st is the deadline for completion of the Rule 3012 supervisory controls report and execution of the CEO annual certification, pursuant to Rule 3130. Don't hesitate, give us a call to get started now and avoid scrambling to meet the last minute deadline.
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ComplianceCasts

New Form ADV, Dodd-Frank Reform, Ethics, Fin-Reg, Pay to Play: We address them all in ComplianceCasts, our web-based compliance learning tool for investment advisers, broker dealers, and hedge and private equity funds. Click here to learn more!

Conferences

Our 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 our latest conference offering please click here.