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.
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Conducting an Effective Risk Assessment
Identifying Conflicts of Interest, Drafting and Distributing Policies; Mapping Risks
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Compliance Calendars
Tracking Internal and External Compliance Reporting Requirements
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Ascendant Compliance Roundtable Network
Insight on the Most Recent Regulatory Developments
Current News and Issues: Custody, Privacy (Reg. S-AM), Pay-to-Play and Say-to-Pay, et al.
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Comprehensive Forensic Testing
Trade Blotter Reviews; Custody Safeguards; Privacy Tests; AML; Searching Emails, et al.
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Disclosure Obligations and Applications of the Fiduciary Duty
Form ADV; Offering Documents and Prospectuses; Financial Reporting et al.
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Ascendant Compliance Roundtable Network
A Mock SEC Examination
Analyzing the SEC's Standardized Request Letter
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How to Train Your Sales Staff
Marketing Distribution, Client Communications, Solicitor Arrangements; Reg. D Offerings; Social Networks
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The Nexus of Portfolio Management, Trading and Compliance Best Execution
Trade Sequencing; Soft Dollars; Client Mandates and Restrictions; Billing and Valuation et al.
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Ascendant Compliance Roundtable Network
Enforcement and Litigation Review-- The SEC's New Direction and Focus
Summary of SEC Enforcement Division Changes and Lessons from Recent Disciplinary Actions
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Insider Trading and Code of Ethics Issues
Areas to Recognize Sources of Insider Information; Raise Staff Awareness; Implement Controls et al.
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Common Gaps in Knowledge and Understanding of ERISA
Hidden Prohibited Transactions; Direct Participant Advice; PTE Compliance et al.
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Ascendant Compliance Roundtable Network
Share Ideas with Your Peers for Effective Annual Reviews
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* Additional broker dealer/FINRA-related topics to be announced.
Topics and dates are subject to change at Ascendant's discretion.
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