Created with your time and budget in mind, ComplianceCasts offers a unique educational environment for web-based compliance learning without the added cost of travel.

The Ascendant Compliance Management team offers ComplianceCasts, a customized web-based curriculum for IAs, BDs and hedge funds. ComplianceCasts intuitively examines the relationships between key regulatory issues and real-world business operations, addressing the educational needs of compliance officers and staff. Designed for your whole firm, ComplianceCasts are run by Ascendant experts with over 25 years of experience in developing compliance training programs.

ComplianceCasts training focuses on key areas of interest for compliance, operational and management personnel. Each ComplianceCasts session further integrates Annual Review compliance concepts, appropriate testing considerations, and SEC examination issues because we believe those frameworks must always be reviewed for a complete understanding of all compliance issues.

You will access ComplianceCasts via our secure link and view state-of-the-art active presentations – all you need is a web browser and a phone line to participate in real-time responses by panelists and information sharing with other participants.

Ascendant Compliance Roundtables
Each calendar quarter a ComplianceCasts session will be dedicated to the Ascendant Compliance Roundtable Network. Join Ascendant Compliance Management experts, CCOs and compliance professionals as they engage in discussions of predetermined focus areas as well as current SEC/FINRA hot topics and enforcement actions. Ascendant Compliance Roundtables are not open to the public and can not be purchased separately. (See membership details on our REGISTRATION page.)

Compliance Casts Curriculum and Schedule >   Registration >

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