NIST has proposed an update to its Cybersecurity Framework to address service provider oversight
The news headlines continue to be filled with insider trading scandals. Now is a great time to provide employees with additional training on what constitutes insider trading and the potential repercussions of acting on such information.
Ascendant summarizes SEC and FINRA exam priority letters, highlighting key topics to investment advisers and broker-dealers, along with practical advice.
Ascendant Compliance Management announces its partnership with Compliance Solutions Strategies (“CSS”), a newly founded global compliance risk management company.
The SEC met its stated fiscal year 2016 goal by examining 11 percent of the investment adviser pool, meaning over 1,300 advisers were covered.
Some SEC exams might not focus on cyber at all, but the ones that do are likely to now include a more in-depth examination of it.
New York’s 23 NYCRR 500 Cybersecurity rule goes into effect on March 1, 2017 requiring banks and other financial services companies to establish and maintain a cybersecurity program designed to protect consumers and ensure the safety and soundness of the state’s financial services industry.
The SEC’s Office of Compliance and Examinations (“OCIE”) released its Examination Priorities for 2017 with a focus on “certain practices, products, and services that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. capital markets.”
As 2017 begins to take shape, Ascendant reviews new investment adviser regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation
The Department of Labor Fiduciary regulation is on the rocks, and what the incoming presidential administration plans to do with it will have lasting consequences.