Tuesday, March 24 - Thursday, March 26, 2015  
Hyatt Regency Coconut Point Resort & Spa, Coconut Road, Bonita Springs, FL 34134


More than 21 hours of compliance
training in less than three days.

Compliance as Gatekeepers

NextGen Skills for Effective Compliance Management

More than 21 hours of compliance training in less than three days.

Compliance is a key guardian, protector, and advocate for our industry, playing a central role in implementing effective programs, and protecting firms and clients.

Ascendant Conferences + Education provides a cutting edge source of knowledge and analytical capabilities to build and enhance NextGen Skills for Effective Compliance Management. Broaden and augment strong skills, discover solutions, and gain advanced knowledge from experts and leaders:

  • 2015 SEC Exam Priorities, Core Risks, New and Emerging Issues, Strategies, and Initiatives
  • The Year Ahead: What’s Next – Hear from Industry Thought Leaders
  • Trade Analytics and Forensics that Work: Understanding, Monitoring; Testing Trade Data, Compliance Re-engineering
  • Critical Thinking in Risk Management, Cybersecurity, and IT Risk Assessment
  • New Age of Marketing and Advertising: Rules and Surveillance
  • Social Media Management, NextGen Social Media Surveillance
  • Custody Triggers
  • Mitigating Enforcement Risk
  • Professional Skills
    • Understanding Management’s Challenges
    • Primers on Industry Regulations
    • Ethics Training
    • Reasonable Solutions
  • Specialized Focus on IT Security
  • Analysis and Discussion Groups – Peer Networking
  • Relevant Exhibitors and Sponsors

CCO’s are required by Rule 206(4)-7 to be knowledgeable and empowered. Compliance is an important Gatekeeper protecting against fraud and market manipulation. Ascendant Conferences + Education has been proven to provide the skill sets to advance the success of an investment manager.

  • Meet New and Existing Regulatory Challenges
  • Protect the Adviser from Broken Window Regulatory Violations
  • Implement Compliance Programs Effectively and Efficiently
  • Master Fundamentals of the “Advisers Act” and Foundational Rules

Uniquely designed by hands-on, successful compliance professionals!

Ascendant templates always available: Cybersecurity, Incident Management and Response, Wire Fraud, Regulatory Reporting, the Form ADV Part 2 template, and so much more. Ascendant leads in effective policy implementation.

Solutions for the Integration of Management
Compliance, Operations, Technology, and Administration

Advancing Skill Sets | Protecting the Firm, Clients, and Reputations


Exhibitors & Sponsors

Ascendant Compliance Management conferences give our exhibitors and sponsors direct access to CCOs, operations managers, and senior management; from some of the world's largest firms.

In fact, more than 80% of attendees at our conferences in Georgia, Arizona, Texas, Florida, California, Louisiana, and New York in recent years came from firms with assets exceeding 1 billion dollars. If you are interested in capitalizing on our flexible exhibiting or sponsoring opportunities, click here to find out more information.

Media Partner

Bloomberg BRIEF

Exhibitors and Sponsors


TD Ameritrade

Charles River


Starkweather & Shepley

Global Relay

Bloomberg Vault





Charles Schwab

Hedge Connection

Carbon Networks

Testimonials from Ascendant’s conference attendees:

Ascendant helps me to conduct my duties as CCO in a well-equipped and confident manner.”

“Good combination of high level and nitty gritty takeaways

Great information that I can take home and apply. The relationship with Ascendant staff, speakers and attendees can’t be beat.

The speakers were excellent; the content current and insightful.

“The conference provided me with a greater understanding of rules and procedures that I will be able to revise in my firm.”

“My favorite part of the conferences are the roundtable discussions, I really learn from others’ experiences and ideas.

Upcoming Conferences

To see our upcoming conferences please click the button below:

Ascendant Conferences + Education