‘WannaCry’ is a wide-reaching ransomware attack that led to a May 17, 2017 SEC Risk Alert. Ascendant offers advice on how to battle ransomware in today’s environment.
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.
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 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
During our San Diego 2016 conference, we featured Jeff Glasbrenner, a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. This week, we’re thrilled to see Jeff on the cover of Sports Illustrated!
Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps
Operating Holding Companies and Transient Investment Company Status Clarified by SEC in Guidance Update
On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.
The BCP and transition planning rule–SEC Rule 206(4)-4–has major implications for both compliance and operations. ComplianceCast covers the proposed rule requirements, concerns and impacts.
In recent remarks by Acting SEC Chair Michael S. Piwowar, he signaled his interest in revising the accredited investor threshold in an effort to level access to higher risk, higher return investments.