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International Conferences



Current Curriculum and Schedule*

ComplianceCasts is the most convenient resource for IA, BD, and hedge fund online compliance training. Created with your time and budget in mind, ComplianceCasts offers a unique educational environment for compliance learning without the added cost of travel. 

Our curriculum intuitively examines the relationships between key regulatory issues and real-world business operations.  Each ComplianceCasts session further integrates Annual Review compliance concepts, appropriate testing considerations, and SEC examination issues because we believe those frameworks must always be reviewed for a complete understanding of each compliance issue.

ComplianceCasts begin at 2:00 p.m. EST, and are 90 minutes long, providing in-depth coverage in a manageable time. 


November 19, 2008

Ethics from the Compliance Perspective
Personal Trading, Insider Trading, Gifts, CCO Enforcement

December 17, 2008

Ascendant Compliance Roundtable Network
Focus on The Regulatory Year in Review
Current News and Issues

January 21, 2009

Compliance Department Essentials
Policies and Procedures, Books and Records, Testing, Custody, Regulatory Reporting

February 18, 2009

Drafting Form ADV
Knowing the Most Important Issues and Current Rules

March 25, 2009

Ascendant Compliance Roundtable Network
Focus on SEC Examination Trends
Current News and Issues

April 15, 2009

Client Communications
Advertising and Marketing Brochures, Pitchbooks, RFPs, Web Sites, Privacy Regulations

May 20, 2009

Connecting Portfolio Management and Compliance
Sales Practices, Account Guidelines and Restrictions, Valuation Procedures, Proxy Voting  

June 17, 2009

Ascendant Compliance Roundtable Network
Focus on the Partnership Among Compliance, Operations and Management.
Current News and Issues

July 15, 2009

Trading Practices
Best Execution, Soft Dollars, Trade Errors, Conflicts of Interest, Disclosures  

August 19, 2009

Annual Review
Best Practice Processes and Procedures, Plus Disaster Recovery

Sept. 16, 2009

Ascendant Compliance Roundtable Network
Focus on New Technologies and Resources for CCOs
Current News and Issues

October 21, 2009

Risk Assessment and Conflict Identification
Protecting Your Firm and Meeting SEC Expectations

* Additional broker dealer/FINRA-related topics to be announced.  
Topics and dates are subject to change at Ascendant's discretion.  


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