September 2008
Ascendant announces ComplianceCasts, a customized web-based training program addressing the educational needs of compliance officers and staff within investment advisers, hedge funds and broker dealers. Run by leading industry specialists, ComplianceCasts provide insightful and stimulating training on the most current risk management and regulatory issues.
TD Ameritrade publishes article, "Paying for Referrals: What you need to know" authored by Keith Marks of Ascendant Compliance Management
SAN DIEGO, CA: Ascendant Compliance Management Conferences + Education presents "The Integration of Compliance with Operations and Business Management," September 17-20, 2008 at The Loews Coronado. Cutting-edge topics that identify strategies which tie operations and business management to compliance are the focus of this conference. READ MORE >
August 2008
Lisa Caruso joins Ascendant Compliance Management's New York Office.
July 2008
As part of Ascendant's special events evenings attendees to the Fall Compliance Conference in San Diego are invited to a sunset dinner cruise aboard The California Princess. The three hour cruise covers 25 miles of scenic San Diego skyline allowing participants an opportunity for some upscale networking after a full day of compliance training.
June 2008
Joe Hanczor, Esq., Joins Ascendant Compliance Management. Previously Joe has served as legal counsel and compliance director for major financial services firms including Merrill Lynch, UBS and Smith Barney/Shearson Lehman Brothers. READ MORE >
May 2008
Once again, the SEC is conducting CCOutreach seminars in all the Commission's regional offices. Highlights from two recent CCOutreach seminars hosted by the New York Regional Office and the Boston Regional Office focused on current hot topics and enforcement actions, investment advisor examination statistics for 2007, new and proposed regulations, and top deficiencies identified in recent examinations. READ MORE >
April 2008
NEW ORLEANS, LA: Ascendant Compliance Management’s Conference + Education continues its series, “The Integration of Compliance with Operations and Business Management” at Ritz-Carlton, New Orleans.
Before the conference begins, Ascendant Compliance Management partners, conference attendees, sponsors and speakers volunteer with Habitat for Humanity and Parkway Partners in New Orleans to reconstruct homes in Katrina-ravaged Ninth Ward. READ MORE >
FIRMA selects industry expert Chris Hardy of Ascendant Compliance Management to speak on, “The Highlights of SEC Advertising and Marketing at FIRMA Conference in Orlando.” http://www.thefirma.org/pages/2008_conference/
February 2008
Investment Advisor Magazine publishes article, “The New Paradigm: Operations and Compliance” by Sal Papa and Keith Marks of Ascendant Compliance Management.
http://www.investmentadvisor.com/article.php?topic=Compliance&article=8498
November 2007
After considerable due diligence, Ascendant Compliance Management announces a strategic alliance with Global Relay, a world leader in hosted email archiving, continuity and eDiscovery.
www.globalrelay.com
October 2007
BAM Advisor Services selects Ascendant Compliance Management to provide compliance vendor services. This multi-level comprehensive compliance program supports selected advisors within the BAM program. READ MORE >
https://bamweb.bamservices.com/bam/
Charles Schwab Institutional publishes article by Ascendant's Keith Marks discussing Annual Review requirements for registered advisers pursuant to Rule 206(4)-7.
NAPA, CA: Ascendant Compliance Conference + Education presents “The Integration of Compliance with Operations and Business Management” from October 2-3, 2007. The focus of this conference series is on practical applications, rather than rule repetition. Attendees learned from the industry's foremost speakers about the intricacies of operations and business management strategies and how to tie these elements into their firms' culture of compliance.
Salvatore Papa joins Ascendant Compliance Management's New York office.
June 2007
Ascendant's Clare McAdam speaks at FRA Financial Research Associates Conference.
NEW YORK, NY: Ascendant Compliance Conference + Education presents “Best Business Practice Management Solutions for Investment Advisors,” including a session on “The Integration of Global Markets and Regulatory Efforts” led by John Walsh Deputy Director-General Counse,l OCIE, and Steven Burke from an established consultancy firm in the UK. Ascendant Compliance introduces innovative interactive compliance training for advisors in U.S. and global marketplaces. At this premier day-and-a-half training program, attendees engaged in sessions with some of the most respected names in compliance. Attendees learned strategies to remove the risk that leads to regulatory scrutiny, obtained help in developing the high standards necessary in today's global compliance arena.
John Gentile joins Ascendant Compliance Management
April 2007
After careful consideration, Ascendant Compliance Management announces a strategic alliance with media partner Investment Advisor Magazine, the leading media industry source for information for the financial services industry. Investment Advisor stays ahead of demographic and social trends that will affect advisors in the future, giving readers an edge over their competitors who are focused on the past. Whether it's wealth management, alternative investments, retirement planning, technology, or practice management, and whether the advisor is a broker dealer rep or an independent RIA, Investment Advisor remains the leading media valued partner in helping that advisor become and remain successful. We are proud to be a partner with this independent minded media source.
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