Monday, September 29 / Wednesday, October 1 2014  
The Westin Mission Hills Resort Villas, Palm Springs, Dinah Shore Drive, Rancho Mirage, CA, United States

Complexities of Compliance in a New Era of SEC Initiatives
New SEC Exam Tools & Strategies | Advancing Technologies | Cybersecurity | Implementation Essentials

Ascendant’s Palm Springs Compliance Conference is designed as a forum for investment adviser compliance professionals to:

  • Advance compliance programs to meet the complexities of new SEC examination strategies, rapidly changing technologies and regulatory initiatives
  • Prepare to meet the demands of critical Cybersecurity controls and programs
  • Learn about new solutions, new methodologies, and new ways to increase efficiencies
  • Stay current with changing regulations and best practices
  • Keep pace with the ever-evolving world of risk management

The goal of this program is to equip compliance professionals with the necessary tools and strategies for developing and implementing the highest standards of business practice management.

  • Discover new solutions for the rapid and efficient processing of data, analysis, and compliance with rules and regulations
  • Discuss implementation of an Incident Response Management Program

Learn from common trends, the experiences of others and experts in the field:

Past and present SEC staff and examiners

  • Ascendant Consultants
  • Chief Compliance Officers
  • Expert Securities Attorneys

Ascendant Conferences + Education is dedicated to providing attendees with practical solutions and take-aways that they can implement immediately within their firm.

Conference Info

Ascendant Compliance Management’s Conferences + Education is dedicated to the advancement of compliance professionals in the investment management industry. You will find that our focus covers compliance in an industry setting. After all, as regulators often pronounce, you need to understand your entire firm in order to monitor compliance.

Our conferences will continue to have the best securities minds in the industry. Our interactive approach will follow all of the latest trends in SEC examinations, disclosure requirements, fundamentals of compliance program development, trading and soft dollar issues, books and records (including email retention), marketing and advertising, and forensic testing, among other topics.

Because we want to promote your ability to conduct an Annual Review in an insightful and rich manner, our focus will lead to additional discoveries. Sessions on practice management, fiduciary obligations, legal and business considerations, and operations technology will provide you with a broader industry knowledge than available elsewhere. In combination, our core compliance presentations and real world business focus will give you the competence, knowledge and experience that you and your business partners expect.

This intermediate to advanced program will explore in depth each item on the agenda. The goal of this program is to equip compliance professionals with the necessary tools for developing and maintaining the highest standards of business practice management.

This conference is designed for:

Investment adviser compliance and legal professionals, senior management and operations personnel. A fundamental understanding and familiarity with the Investment Advisers Act of 1940 and The Securities and Exchange Act of 1934 is considered necessary to partake in the program.


Resort Casual


To ensure that the most current topics are offered at this conference and the program is of the greatest benefit to our attendees, speakers and the agenda may be updated.

Cancellation/Refund Policy:

Registration cancellations received before September 1st will receive a full refund of any registration fee paid, minus an administration charge of $150. After September 1st, there will be no refunds given, but upon receipt of a written explanation of the cancellation, the registration fee paid will be credited towards a future Ascendant conference or service, valid for one year. Substitutions can be made at any time before the conference.

Come join us in Palm Springs. Enrich yourself in the dynamic environment of Ascendant Compliance Management’s Conferences + Education.

If you have any questions call Sally Cole at 1-860-435-2255, x100, or send her an email at


Exhibitors and Sponsors

Ascendant Compliance Management conferences give our exhibitors and sponsors direct access to CCOs, operations managers and senior management from some of the world’s largest firms.

In fact, more than 80% of attendees at our conferences in Georgia, Arizona, Texas, Florida, California, Louisiana and New York in recent years came from firms with assets exceeding 1 billion dollars. If you are interested in capitalizing on our flexible exhibiting or sponsoring opportunities, read our downloadable PDF.

Click here to download.

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Exhibitors and Sponsors

What Our Clients Say

Ascendant helps me to conduct my duties as CCO in a well-equipped and confident manner.”

“I love Ascendant conferences!! I leave with a better hold on my responsibility as a CCO.”

Great information that I can take home and apply. The relationship with Ascendant staff, speakers and attendees can’t be beat.

“My favorite part of your conferences are the roundtable discussions, I really learn from others’ experiences and ideas.”

Very current content, even discussion of ‘hot off the press’ SEC Alert.”

“The conference provided me with a greater understanding of rules and procedures that I will be able to revise in my firm.”

Ascendant Conferences + Education

Questions? Call us at 860-435-2255, email us, or get in touch via our contact page.