Our Story

Ascendant Compliance Management, with offices in Connecticut, New York and San Francisco, was founded in 2006 by the leaders and founders of successful compliance consulting companies and the nonprofit National Society for Compliance Professionals.

Our experienced team shares a philosophy and commitment to innovation, to the highest quality client service and to educational training and technological solutions for investment managers, broker dealers, hedge and private equity funds worldwide.

Ascendant offers innovative compliance consulting: we are solution providers who bring our clients customized compliance and operational solutions that allow them to focus on growing their businesses. We provide defined outcomes and support services tailored to what each client needs.  Leveraging from the thousands of firms we have visited and serviced over the years, we prepare best practice procedures that will help preserve your hard-won reputation.

Ascendant Compliance Management can help your business put compliance into perspective by guiding you through the regulations. By ensuring that senior management understands compliance controls arrangements, we aim to ensure that good compliance becomes an integral part of the way your firm conducts business. Our philosophy is straightforward: compliance should not be difficult. By removing the complexities and addressing misapprehensions, we aim to make compliance a source of strength for our clients.

Ascendant will help your firm create a culture of compliance and make compliance a source of strength, wherever you operate.

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Ascendant is part of Compliance Solutions Strategies (“CSS”), a privately owned, leading provider of technology-enabled regulatory and compliance solutions to the financial services industry. The CSS RegTech platform provides a comprehensive offering encompassing regulatory reporting, data management, outsourced compliance management services, compliance workflow tools, shareholding disclosure, trade monitoring, trading analytics and cybersecurity solutions for the global financial services industry.

Latest Content

Regulation Best Interest, Cybersecurity Top Concerns at IAA 2019 Compliance Conference

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance Conference 2019 was a forum for the discussion of future potential rulemaking. Cybersecurity and Fiduciary Rule considerations were headline topics, with custody and marketing right behind. The following is a summary of key issues discussed … Continued

The Challenges of Building a Global Compliance Program

Compliance programs face challenges in balancing global requirements with local exceptions while incorporating the fast pace of regulatory change, addressing critical business needs and obtaining the necessary resources necessary to manage the program. Trends and thinking on the subject were center stage at the recent CSS London event “Looking at the Year Ahead – Global … Continued

Coming to America – California Adopts GDPR-Like Privacy Regulation

After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s General Data Protection Regulation (GDPR), advisers to U.S. clients will soon be facing similar requirements on the home front.  On the heels of the Cambridge Analytica scandal, California enacted the California Consumer Privacy Act of … Continued

SEC and FINRA 2019 Examination Priorities

The SEC and FINRA have recently released their examination priorities for 2019. These releases provide insight into regulatory priorities and serve as guidance for a firm in evaluating its compliance program. We will discuss topics covered in these releases, including: Protecting retail investors Fees and expenses Disclosure Conflicts of interest Suitability Protecting senior investors Trading … Continued

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Contact Us

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.