February 2010
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
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 Suppapola 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, 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 Suppopola 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 >
