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Contact Ascendant Compliance

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.

Locations

Main Office Locations
194 Main Street, Salisbury, Connecticut 06068
860-435-2255

546 Fifth Avenue, 18th Floor, New York, NY 10036
212-956-9142

Additional Locations
Chicago, San Francisco, St. Louis, Tampa, Portland (Maine), London

Contact Us

Roger Crain, Partner, Director of Client Services | Connecticut
Phone: 860-435-2255
RCrain@AscendantCompliance.com

Mike Mirantz, Partner, Manager, Client Services | Connecticut
MMirantz@AscendantCompliance.com

Press Inquiries

Melissa Maleri, Director of Marketing
Phone: 860-435-2255
Cell: 203-560-0898
MMaleri@AscendantCompliance.com

For more information about Ascendant Compliance click here.

Latest Content

Evolution of Fiduciary Rules Begins to Take Shape in SEC

On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package intends to raise and clarify standards of conduct for broker-dealers and investment advisers, and to provide clarity regarding fees, conflicts and other material matters. It also aims to ensure that the standards can be understood … Continued

Insurance Considerations for Investment Advisers

How much coverage is enough? What types of insurance policies do you need? Whether you are starting an investment advisory practice, launching a new line of business, or reevaluating your existing risks, there are critical questions to ask to make sure you understand the various ways to protect your firm. Join us for a practical … Continued

Fifth Circuit Weighs In on DOL Fiduciary Rule

A panel of the U.S. Court of Appeals for the Fifth Circuit has vacated the Department of Labor’s Fiduciary Rule. In a 2-1 split, the Fifth Circuit’s decision overrules a Dallas District Court’s decision, which had previously upheld the rule. Unfortunately, the decision does little to settle the fate of the beleaguered rule. Although it … Continued

SEC Proposes Amending Investment Company Liquidity Disclosures in Forms N-PORT and N-1A

On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to the mutual fund liquidity-related disclosure requirements. Specifically, the proposal: Adds a new requirement to “briefly discuss the operation and effectiveness of the Fund’s liquidity risk management program during the most recently completed fiscal year” in the Fund’s Management Discussion of Fund Performance … Continued

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