June 2010
We’ve Moved
To support our expanding services and staff Ascendant has moved its New York City office to a larger, more convenient mid-town location. Please make a note of our new address:
Ascendant Compliance Management
546 Fifth Avenue, 15th Floor
New York, NY 10036
(212) 956-9142
Ascendant announces John McGovern Managing Director is working from the new Ascendant New York City office.
Ascendant’s Keith Marks participates on a panel presenting, “Managing Conflicts of Interest” for hedge funds at the NSCP regional conference in New York, NY.
Ascendant ComplianceCasts Roundtable Network: Enforcement and Litigation Review -- The SEC's New Direction and Focus. Each calendar quarter a ComplianceCasts® session is dedicated to the Ascendant Compliance Roundtable Network. June’s session, led by Ascendant partners Keith Marks and Chris Hardy, focuses on SEC Enforcement Division Changes, Lessons from Recent Disciplinary Actions and demonstrates some of the areas being most critically reviewed by the SEC. Hot topics, current news and attendee participation highlight this quarterly session.
May 2010
Ascendant ComplianceCasts: The Nexus of Portfolio Management, Trading and Compliance Best Execution. Ascendant partner Chris Hardy, joined by Steve Lentz from Faegre and Benson, discuss critical compliance and operational issues regarding trade sequencing, soft dollars, client mandates and restrictions, billing and valuation. Hot topics, current news and attendee participation highlight this quarterly session
Ascendant Compliance Partner Chris Hardy speaks at the Schulte Roth CFO Hedge Fund meeting.
Ascendant Compliance Partner Keith Marks speaks at the Charles River Development Client Conference.
April 2010
Ascendant ComplianceCasts: How to Train Your Sales Staff. Panelists Korrine Kohm and Chris Hardy of Ascendant provide practical guidance to CCOs and their operations and management partners on critical compliance marketing issues. Topics include marketing distribution, client communications, solicitor arrangements, Reg. D offerings and social networks.
March 2010
Korrine Kohm joins Ascendant Compliance Management as Vice President working out of the New York office.
Linda Noyes joins Ascendant Compliance Management as State Services Specialist.
Santa Monica, CA: Ascendant Compliance Management Conferences + Education presents "A Bold New World of Compliance: 2010," March 10-12 at Loews in Santa Monica, California. Representatives from the SEC answer questions regarding the direction of compliance in 2010. Among the many timely sessions is a special presentation, "Training as a Certified Fraud Examiner" and how to learn to recognize strategies to become a smarter and more successful CCO. Read more >
Complinet UK Limited is registered in England. Registered office at Vintners Place, 68 Upper Thames Street, London EC4V 3BJ. Company number 3170722. VAT No. 749 324 021.
Complinet Inc is a corporation registered in Delaware, USA.
Ascendant ComplianceCasts Roundtable Network: A Mock SEC Examination / Analyzing the SEC's Standardized Request Letter. Each calendar quarter a ComplianceCasts® session is dedicated to the Ascendant Compliance Roundtable Network. March's session, led by Brian Kawakami and Keith Marks of Ascendant, focuses on the SEC’s standard request letter for information from investment advisers. The panelists also discuss how to conduct a mock SEC exam and how new rules and regulations may affect the process of SEC examinations. Hot topics, current news and attendee participation highlight this quarterly session.
February 2010
Ascendant ComplianceCasts Roundtable Network: Disclosure Obligations and Applications of the Fiduciary Duty. Steve Yadegari, SVP, General Counsel and CCO of Cramer, Rosenthal, McGlynn, joins Ascendant's Sal Papa to discuss Form ADV: Offering Documents, Prospectuses and Financial Reporting. They provide practical guidance to registered investment advisers on Form ADV Part 2 and other core disclosure documents.
Ascendant’s Keith Marks presents “Identifying Conflicts of Interest” at the NSCP regional conference in Boston, MA.
Ascendant's Keith Marks speaks on "Protecting Confidential Client Communications: Getting Ahead of the Massachusetts Data Protection Rule," a jointly sponsored IA Watch/BD Week webinar.
January 2010
Ascendant Compliance Partner Keith Marks speaks to the New England Broker Dealer Investment Advisor Association on privacy and information security programs in response to new Massachusetts regulations, in Boston Ma.
The SEC responds to an Ascendant question regarding new custody rule. Read the response >
Ascendant Compliance Partner Keith Marks speaks at the AICPA Advanced Personal Financial Planning Conference 2010 on Regulatory Compliance for Investment Advisors: As a New Order Takes Shape
Ascendant ComplianceCasts: Comprehensive Forensic Testing. Keith Marks, Partner with Ascendant Compliance Management, and Jason Vazquez, Vice President and Head of AML Compliance with Deutsche Asset Management, discuss practical examples of and suggestions for forensic testing of trade blotters, custody safeguards, privacy, AML and emails, among other topics. More on ComplianceCasts >
December 2009
Ascendant’s Sal Papa speaks about "Social Media and Regulatory Considerations" at the BAM Advisor Services National Teleconference on December 1.
Ascendant ComplianceCasts Roundtable Network: Insight on the Most Recent Regulatory Developments. Panelists Jeffrey Blumberg, Partner with Drinker Biddle & Reath, and Keith Marks, Partner/Ascendant Compliance Management, provide new updated information about compliance issues and regulatory developments that advisers will face in 2010 including: new privacy regulations by federal and state regulators (i.e., Reg. S-AM, Massachusetts regulatory deadline (03/01/10), pay-to-play and progress by the SEC on Custody Rule 206(4)-2). More on ComplianceCasts >
November 2009
Ascendant Partner Chris Hardy speaks at the Focus Financial Partners National Meeting.
Ascendant ComplianceCasts: Compliance Calendars - Tracking Internal and External Compliance Reporting Requirements. Ascendant panelists Jackie Hallihan and Sal Papa focus on incorporating compliance calendars into overall compliance programs and present practical knowledge on developing and integrating regulatory requirements into your compliance calendar to save you time and effort for your annual review. More on ComplianceCasts >
October 2009
Keith Marks, Partner at Ascendant Compliance, speaks on “Regulatory Audits: What Is the SEC Looking For?” at NSCP's Annual Fall Conference.
Ascendant ComplianceCasts Roundtable Network: Conducting an Effective Risk Assessment. Speakers Sal Papa and Keith Marks provide guidance to CCOs on the issues to be identified in an effective risk assessment. They address how to document your risk assessment reflecting regulatory expectations and requirements. More on ComplianceCasts >
Ascendant’s Sal Papa and Keith Marks present "Regulatory Reform and New Compliance Issues" at the BAM Advisor Services Annual National Conference in St. Louis.
September 2009
Ascendant ComplianceCasts: Focus on New Technologies and Resources for CCOs. Brian Kawakami of Ascendant and Martin Norfolk of Carbon Networks provide information on issues surrounding the use of technology: how to justify the cost of new technology and productivity versus the firm’s return on investment. Included in this seminar are helpful hints on the due diligence process and questions that should be posed when selecting vendors. More on ComplianceCasts >
New York, NY Ascendant Compliance Management Conferences + Education presents The Ascendant Investment Management Regulatory Forum titled "A Focus on Fraud Prevention," September 24-25th, 2008 at The Grand Hyatt in New York City. Featured panel "The Regulators Response to Fraud" includes John Walsh (SEC Acting Director of OCIE), George Walz FINRA (VP of Member regulation), Tom Lemke (Legg Mason) and moderator Liz Knoblock (Mayer Brown) highlighting this conference on how compliance, operations and internal controls can build client confidence
Schwab Impact 2009 - Ascendant Compliance Management partner Keith Marks speaks on Internal compliance reviews and how to identify problems.
August 2009
Ascendant presents ComplianceCasts: "Annual Review: Best Practice Processes and Procedures, plus Disaster Recovery" Arguably the most significant SEC Rule for investment advisers in the past ten years, this ComplianceCast examines the basics of the Compliance Program Rule and how to conduct an effective annual review, covering among other things:
- The basics of the Compliance Program Rule
- The different kinds of compliance tests expected of advisers
- How to document the review
- Important considerations for CCOs
July 2009
Brian Kawakami joins Ascendant as Managing Director. Brian will be working from the New York office at 140 West 57th St NY, NY 10019 (212) 956-9023.
Ascendant ComplianceCasts: Trading Practices: Our panelists Chris Hardy and Brian Kawakami, respectively Partner and Managing Director with Ascendant Compliance Management, provide best practices guidance on the following topical areas: Best Execution, Soft Dollars, Trade Errors, Allocation, Risk Areas, Conflicts of Interest and Disclosure obligations
June 2009
Ascendant Compliance Roundtable Network: "Focus on the Partnership of Compliance, Operations and Management." Each calendar quarter a ComplianceCasts® session is dedicated to the Ascendant Compliance Roundtable Network. June's session led by John Robbins, the CCO of Babson Capital and Keith Marks of Ascendant, focuses on the partnership of compliance, operations and management. Hot topics, current news and attendee participation highlight this quarterly session.
Ascendant Conference Ahead of Curve. As the recent financial crisis unfolded Ascendant foresaw the direction regulators were headed, and responded for the compliance community. Read more >
May 2009
Ascendant’s Joe Hanczor speaks at NSCP East Coast Regional Conference on Investment Advisor Compliance and Risk Management Issues.
Ascendant presents ComplianceCasts: "Connecting Portfolio Management and Compliance." Ascendant partner Chris Hardy, along with Mike Suppappola of Proskauer Rose, provided useful guidance to investment advisers on all aspects of the portfolio management process, from taking on clients to the point where investment ideas are ready to be implemented. This session included: account guidelines, restrictions and mandates, proxy voting and corporate governance, and managing the complexities of valuation. More on ComplianceCasts >
April 2009
Ascendant presents ComplianceCasts: "Client Communications." Steve Yadegari, SVP, General Counsel and CCO of Cramer, Rosenthal, McGlynn, joined Ascendant's Sal Papa in providing practical guidance to investment advisers on marketing and privacy regulations including: understanding performance advertising disclosure standards, common advertising deficiencies, recent no-action letter guidance and deficiency/enforcement actions concerning advertising/marketing, and complying with Regulation S-P. More on ComplianceCasts >
March 2009
NEW ORLEANS, LA: Ascendant Compliance Conference + Education presents
Bridging the Gap: How to Implement Compliance Theory into Business Operations at The Ritz-Carlton, New Orleans, March 18-20. Keynote speakers are Mark Tibergien of Pershing Advisors Solutions and Marianne Smythe from WilmerHale.
Contact Ascendant for session recordings. Photos >
Ascendant partners, conference attendees, sponsors and speakers volunteer with Parkway Partners in New Orleans to create and plant an outdoor classroom at a high school. Photos >
Ascendant’s Joe Hanczor speaks at NSCP Boston Regional Conference on Investment Advisor Compliance and Risk Management Issues.
Ascendant presents ComplianceCasts Roundtable Network: ”Focus on SEC Examination Trends” with Ascendant speakers Keith Marks and Joe Hanczor. Current News and Issues include: SEC Enforcement Priorities; New SEC Exam Letters; SEC Target Areas Due to Recent Fraud; and CCO Responsibilities in the Emerging Exam Framework. More on ComplianceCasts >
Chris Hardy, Ascendant Compliance Management Partner, is named “Speaker of the Month” by Investment Adviser Magazine.
February 2009
Ascendant presents ComplianceCasts: ”Drafting Form ADV” with Ascendant’s Keith Marks and Mike Suppappola of Proskauer, Rose. Focus is on knowing the most important issues and current rules. More on ComplianceCasts >
January 2009
Ascendant presents ComplianceCasts: ”Compliance Department Essentials” with Ascendant’s Chris Hardy and Joe Hanzcor. Focus is on policies and procedures, books and records, testing, custody and regulatory reporting. More on ComplianceCasts >
