Investment Adviser and Asset Manager Services
Compliance Training: The Culture of Compliance Ascendant Compliance Management offers a range of both standard and individualized, company-specific compliance training programs on all aspects of regulation and compliance. The modular structure of our program means that we can offer training to suit your particular circumstances, working with you to make compliance a source of strength.
Due Diligence The increasing popularity of multi-manager and fund of fund investing has resulted in regulated firms becoming increasingly dependent on the integrity of the compliance and control infrastructures of others. Our Due Diligence incorporates verification services, risk management, and a compliance overview program.
Compliance+ Ascendant Compliance Management is the global leader in the compliance and regulatory services industry, with its hallmark in offering a comprehensive compliance program for US investment advisers and global asset managers. As your Compliance+ Consultants, we work closely with you to design a program - as simple or as complex as your specific compliance needs require - drawing from the following services:
- Prepare, amend, or renew your federal and state regulatory documents
- Prepare and conduct annual reviews
- Develop model code of ethics and insider prading Policies
- Review your website, advertising and marketing materials
- Review contracts
- Review business practices
- Develop and offer updates to supervisory procedures
- Perform a compliance audit
- Perform a due diligence review
- Act as your IARD account representative
- Provide Compliance+ Telephone Easy Access to your consultant to answer questions
Continuing Education and Training We provide compliance training either on site or via webcasting on a variety of specific and current regulatory topics for continuing education. We make compliance easy for your advisory reps!
SEC+ Registration Ascendant Consultants provide professional registration services with the Securities Exchange Commission and applicable state regulatory bodies. Ascendant can provide the following:
- Preparation of Form ADV
- Registration with the SEC and states as applicable
- Registration of principals, officers and advisory reps as needed
- Sample advisory contracts
- Code of ethics
- Insider trading policy
- Supervisory policies and procedures manual
Ascendant Compliance Management will help develop a Compliance Program with you for your firm so you are prepared with a process and a culture of compliance to satisfy regulators once your registrations are effective.
Please call 1-860-435-2255 for more information
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Broker Dealer Services
Compliance + Ascendant Consultants provide professional, tailored services to broker dealers. Firms may choose from the following services:
- Supervisory control reviews (i.e., NASD Rule 3012 & 3013 "testing")
- Broker dealer compliance risk assessment/ internal control reviews
- Branch office audits
- Anti-money laundering audit
- Website, advertising and marketing reviews
- Compliance consulting and business plan development
- Supervisory procedures and updates
Compliance Partnership Ascendant will help develop a compliance program with you for your firm so you are prepared with a process and culture of compliance to satisfy regulators.
NASD / SEC Registration Ascendant Consultants will guide you through the rather complex process to register your firm with the NASD, Securities and Exchange Commission and applicable state regulatory bodies.
Annual Compliance Meetings and Continuing Education Training We provide compliance training either on site or via webcasting on a variety of specific and current regulatory topics for continuing education. We make compliance easy for your broker dealer or advisory reps!
Please call 1-860-435-2255 for more information
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Hedge Fund Services
Consulting Services Ascendant Compliance Management is the global leader in the compliance and regulatory services industry, with its hallmark in offering a comprehensive compliance program for US and UK investment advisers and global asset managers. We offer a broad service program for Hedge Funds, which can draw from the following services:
- Consulting
- Registration as an adviser (optional)
- Regulatory reviews
- Policies and procedures
- Code of ethics
- Insider trading policies
- Anti-money laundering consulting/training
- Privacy policy
- Due diligence services
- Training and education
- Business review
- Website, marketing and advertising review
We provide personal attention and easy access to our consultants who will answer your questions.
Due Diligence The increasing popularity of multi-manager and fund of fund investing has resulted in regulated firms becoming increasingly dependent on the integrity of the compliance and control infrastructures of others. Our due diligence incorporates verification services, risk management, and a compliance overview program.
Offshore Financial Services Our capabilities include consultation regarding SEC and NASD requirements with foreign broker dealers, advisors, and hedge funds, including their establishment of US offices or dealings with persons in the US. Ascendant can provide the following:
- Registration services for entities and principals/officers
- Supervisory policies and procedures development
- Internal control and risk assessment reviews
- Business development planning
- SEC/NASD books and records guidance
We are able to assist US firms with regards to the US securities regulatory implications for firms that have foreign offices, including their dealings with persons abroad.
Please call 1-860-435-2255 for more information
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