Ascendant Compliance Management

Continuing Education

Please forward CLE requests for specific states to . Ascendant will submit the ComplianceCasts seminars for approval from the CFP Board of Standards as they take place. Approval has been granted for the following seminars:

Risk Assessment & Conflict Identification (10.15.2008)
Ethics from a Compliance Perspective (11.19.2008)
Focus on the Regulatory Year in Review (12.17.2008)
Compliance Department Essentials (1.21.2009)
Drafting Form ADV (2.18.2009)
Focus on SEC Examination Trends (3.25.2009)
Connecting Portfolio Management and Compliance (5.20.2009)
Focus on the Partnership of Compliance, Operations and Mangement (6.17.2009)
Trading Practices (7.15.2009)

Ascendant Compliance Management has been approved by the State Bar of California as a Multiple Activity Provider. ComplianceCasts CLE credits offered may be accepted by jurisdictions that recognize this approved provider status.

Ascendant Compliance Management is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to: National Registry of CPE Sponsors, 150 Fourth Avenue North, Nashville, TN 37219-2417. Website: www.nasba.org.

Compliance Casts Curriculum and Schedule > Registration >

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