About Conferences

Excellent learning environment and beautiful surroundings. Industry experts, timely topics, interactive sessions.

Our educational programs are tailored to training compliance and legal professionals, senior management, operations and trading, marketing and research personnel, portfolio managers, and internal auditors.

Each of our training programs reviews, updates, and offers up-to-the-minute clarification of regulatory issues by industry professionals and the foremost legal and regulatory representatives.

The aim of Ascendant Conferences + Education is to help maintain and raise the standards of compliance to ensure that the investing public is protected. We provide the expertise for building a culture of compliance within firms and to make compliance a source of strength.

Ascendant’s conferences, held in prime locations around the country, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings. In-depth interaction among conference attendees facilitates peer-learning, with guidance and instruction from our panelists and experts.

Continuing education credits are offered.

For more information on our Conferences + Education offerings please call Deb Galli, Director of Conferences + Education at 860-435-2255 or email dgalli@ascendantcompliance.com

Ascendant Conferences + Education

Latest Content

OCIE Examined 15% of RIAs in 2017

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed in its Fiscal Year 2019 Congressional Budget Justification Annual Performance Plan. In the same report, the SEC said the staff will continue to improve its efforts of RIAs, noting that nearly 35 percent of all … Continued

Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls

A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge fund managers when using hypothetical performance or model data in marketing efforts, and how managers relying on such data can avoid enforcement actions. Adam DiPaolo, Senior Consultant in Ascendant’s Private Funds group, is quoted in the … Continued

SEC’s Exam Priorities Offer Insight Into National Exam Program

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s summary here). In addition to defining their examination priorities for the year, the OCIE staff offered some insight into the National Exam Program.  Specifically, they defined the following five principles in executing their exam priorities: … Continued

SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules

SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and hold themselves to high standards. Speaking via videoconference during Securities Regulation Institute’s recent annual conference, he said, “To be blunt, from what I have seen recently, particularly in the initial coin offering (“ICO”) space, they … Continued

Custody Toolkit

The complexity of the SEC’s Custody Rule is not to be underestimated. Custody issues remain among the most common deficiencies cited during SEC exams, and even firms with strong compliance programs have had challenges interpreting and applying the different rule elements, No-Action letters, FAQs and Investment Management Guidance Updates. Based on our experience in the … 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.