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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Ethics from the Compliance Perspective
Personal Trading, Insider Trading, Gifts, CCO Enforcement
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Ascendant Compliance Roundtable Network
Focus on The Regulatory Year in Review
Current News and Issues
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Compliance Department Essentials
Policies and Procedures, Books and Records, Testing, Custody, Regulatory Reporting
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Drafting Form ADV
Knowing the Most Important Issues and Current Rules
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Ascendant Compliance Roundtable Network
Focus on SEC Examination Trends
Current News and Issues
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Client Communications
Advertising and Marketing Brochures, Pitchbooks, RFPs, Web Sites, Privacy Regulations
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Connecting Portfolio Management and Compliance
Sales Practices, Account Guidelines and Restrictions, Valuation Procedures, Proxy Voting
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Ascendant Compliance Roundtable Network
Focus on the Partnership Among Compliance, Operations and Management.
Current News and Issues
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Trading Practices
Best Execution, Soft Dollars, Trade Errors, Conflicts of Interest, Disclosures
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Annual Review
Best Practice Processes and Procedures, Plus Disaster Recovery
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Ascendant Compliance Roundtable Network
Focus on New Technologies and Resources for CCOs
Current News and Issues
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Risk Assessment and Conflict Identification
Protecting Your Firm and Meeting SEC Expectations
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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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ComplianceCasts is a trademark of Ascendant Compliance Management
