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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

US: Connecticut
Ascendant Compliance Management
194 Main Street, Salisbury, Connecticut 06068
Phone: 860-435-2255
Fax: 860-435-2264

US: New York City
Ascendant Compliance Management
546 Fifth Avenue, 18th Floor, New York, NY 10036
Phone: 212-956-9142
Fax: 212-956-9782

US: San Francisco
Ascendant Compliance Management
New address coming soon!
Phone: 415-565-7397

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

DOL Fiduciary Rule Transition Period Extension to 2019 Requested

The Secretary of Labor, Alexander Acosta, made a court filing on August 9 requesting the Transition Period and Delay of Applicability for the Department of Labor Fiduciary Rule be extended from January 1, 2018 to July 1, 2019. This court filing included extending the deadlines for the following Prohibited Contract Exemptions: Best Interest Contract Exemption … Continued

SEC Cyber Sweep Highlights Areas In Need of Improvement

The results of the SEC’s second cybersecurity sweep examinations are in, and they paint a picture of an industry that has come to grips with the need to address cybersecurity risk, but where the canvas is incomplete in many respects.

Colorado Joins New York in Mandating Cybersecurity Controls for Financial Institutions

On the heels of the recently adopted New York State Department of Financial Services Cybersecurity Regulation (23 NYCRR 500), Colorado has followed suit with its own set of protections. The Colorado Division of Securities has issued cybersecurity regulations applicable to broker dealers and investment advisers registered with the state, which are codified in Sections 51-4.8 … Continued

Form ADV: What You Need to Know Now to Prepare for October

October 2017 new Form ADV amendments continue the big data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden of answering over 100 separate questions (plus scores more for each private fund) through this … Continued

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