Why Should a Big Hedge Fund Use a Compliance Consultant?

When your head is down and you are doing your job on a day-to-day basis, it is very difficult – practically impossible – to stay up to date with regulatory developments, and perhaps more importantly, business best practices.

ComplianceCast: Advertising & Marketing Compliance

Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics & Reviewing Tips for compliance professionals. This complimentary ComplianceCast covers the following topics: Investment Adviser Advertising Rules and No-Action Guidance … Read more

Jay Clayton Sworn in as SEC Chairman

Jay Clayton has taken over the reins of the SEC after being sworn in as the 32nd Chair of the Commission in a May 4 ceremony. He had been nominated on Jan. 20 and confirmed by the U.S. Senate on … Read more