About ComplianceCasts™

What Are ComplianceCasts™?

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 more than 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.

Continuing Education

Ascendant Compliance Management has been approved by the State Bar of California as a Multiple Activity Provider. ComplianceCasts CLE credits offered may be accepted by jurisdictions that recognize this approved provider status. Please forward CLE requests to lduntz@ascendantcompliance.com.

Ascendant Compliance Management is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to: National Registry of CPE Sponsors, 150 Fourth Avenue North, Nashville, TN 37219-2417. Website: www.nasba.org.

Recent ComplianceCasts™

Whatever your needs, Ascendant will work with you to make compliance a source of strength.

Please call 1-860-435-2255 for more information.

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Latest Content

Cyber Crimes – Don’t Forget to File that SAR!

  Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and investment advisory communities. As pointed out in a 2016 advisory released by the Financial Crimes Enforcement Network (“FinCen”), “Cyber-events targeting financial institutions often constitute criminal activity and can serve as means to commit a wide range of … Continued

DOL Rule Extension to Overlap with SEC Consideration of Fiduciary Standards

Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period, the industry will enter a period of further study for proper standards for disclosure or elimination of conflicted compensation arrangements. That’s a mouthful right there. The Obama administration’s March 31, 2017 implementation of various new prohibited … Continued

Schedule 13D/13F Clarity on ETF Issues

Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an ETF? Generally, no. The SEC has granted no-action relief to ETFs with respect to compliance with Section 13(d) of the Securities Exchange Act. Section 13(d) was designed to require disclosure when holders begin to accumulate … Continued

New Remedy Coming for SEC’s Custody Rule?

The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has caused huge headaches for investment advisers, who are not a party to the agreement and may not even have a copy of the custodial new account paperwork. The issue with existing guidance is that it … Continued

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Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.