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

OCIE Examined 15% of RIAs in 2017

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed in its Fiscal Year 2019 Congressional Budget Justification Annual Performance Plan. In the same report, the SEC said the staff will continue to improve its efforts of RIAs, noting that nearly 35 percent of all … Continued

Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls

A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge fund managers when using hypothetical performance or model data in marketing efforts, and how managers relying on such data can avoid enforcement actions. Adam DiPaolo, Senior Consultant in Ascendant’s Private Funds group, is quoted in the … Continued

SEC’s Exam Priorities Offer Insight Into National Exam Program

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s summary here). In addition to defining their examination priorities for the year, the OCIE staff offered some insight into the National Exam Program.  Specifically, they defined the following five principles in executing their exam priorities: … Continued

SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules

SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and hold themselves to high standards. Speaking via videoconference during Securities Regulation Institute’s recent annual conference, he said, “To be blunt, from what I have seen recently, particularly in the initial coin offering (“ICO”) space, they … Continued

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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.