New! Ascendant Custody Toolkit
The complexity of the SEC’s Custody Rule is not to be underestimated, so Ascendant has created a unique offering to help you better understand the Custody Rule and how it applies to your business. Buy before March 31 for discounted pricing!Get the Toolkit
Compliance 20/20 - Come Learn in Beautiful Charleston!
Ascendant's April 2018 conference puts a laser focus on regulators, rapidly evolving technologies, and meeting the relentless demands of everyday business. Join us and our distinguished panel of speakers as we put compliance into a clearer picture. Register now for $400 off!View Agenda
Ascendant Compliance Management
Ascendant Compliance Management is a leader in the compliance and regulatory services industry, offering personalized, comprehensive compliance services for firms in the U.S. and abroad. We can help your firm create a culture of compliance and make compliance a source of strength.Find Out More!
ASCENDANT COMPLIANCE MANAGER: The Ascendant Compliance Manager is a comprehensive tool to manage and analyze compliance and operational risks to a firm and to stay up to date on regulatory requirements and compliance alerts.More Information
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Tools & Resources
SEC and FINRA 2018 Examination PrioritiesFebruary 22, 2018
OCIE Examined 15% of RIAs in 2017February 15, 2018
SEC’s Exam Priorities Offer Insight Into National Exam ProgramFebruary 14, 2018
What Our Clients Say
The materials provided with the ComplianceCast webinar were great, and I am feeling a bit better about the entire process [re-writing of ADV Part 2] as a result. Thank you!
The ComplianceCast speakers were knowledgeable and the webinar content extremely helpful; well worth my time.
Systematic monthly guidelines and checklists have been invaluable.