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

Cyber Crimes – Don’t Forget to File that SAR!

  Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and investment advisory communities. As pointed out in a 2016 advisory released by the Financial Crimes Enforcement Network (“FinCen”), “Cyber-events targeting financial institutions often constitute criminal activity and can serve as means to commit a wide range of … Continued

DOL Rule Extension to Overlap with SEC Consideration of Fiduciary Standards

Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period, the industry will enter a period of further study for proper standards for disclosure or elimination of conflicted compensation arrangements. That’s a mouthful right there. The Obama administration’s March 31, 2017 implementation of various new prohibited … Continued

Schedule 13D/13F Clarity on ETF Issues

Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an ETF? Generally, no. The SEC has granted no-action relief to ETFs with respect to compliance with Section 13(d) of the Securities Exchange Act. Section 13(d) was designed to require disclosure when holders begin to accumulate … Continued

New Remedy Coming for SEC’s Custody Rule?

The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has caused huge headaches for investment advisers, who are not a party to the agreement and may not even have a copy of the custodial new account paperwork. The issue with existing guidance is that it … 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.