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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

How Do You Supervise for SEC Pay-to-Play Violations?

If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it, three recent Settlement Orders against large investment advisers for “over de minimis” political contributions provide some insight regarding one of the prohibitions: Contributions by Covered Associates to certain Government Officials over the specified Exception amount (capitalized words are terms in the … Continued

Do your Fund Documents Clearly Disclose Receipt of Accelerated Monitoring Fees?

Somewhat more reminiscent of the broken-windows enforcement era, two affiliated private equity advisers managing billions settled with the SEC on charges that they failed to make pre-commitment disclosures in fund governing documents related to accelerated fees received from portfolio companies. Interestingly, according to the Settlement Order, the advisers had made some disclosures in fund documents … Continued

With New Risk Alert, SEC Doubles Down on Best Execution

On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by investment advisers. Advisers have an obligation to seek best execution of client transactions, taking into consideration quantitative factors such as execution quality and commission rate, as well as more qualitative factors such as the value … Continued

The Cost of Compliance: Understanding and Leveraging Resources

For compliance officers, obtaining the necessary tools and resources to build an effective compliance program can be costly and difficult to implement. How do you distinguish the best in class, the most cost-efficient and effective for use in your program? In this ComplianceCast, speakers David Porteous of Faegre Baker Daniels and Korrine Kohm of Ascendant … Continued

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