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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