Ascendant Shortlisted for Two Global Compliance Awards

Ascendant is proud to have several team members honored by being shortlisted for C5’s 2018 Women in Compliance Awards. The international awards highlight the top achievers and teams in the compliance industry, embodying the efforts of an evolving and dynamic profession.

Jackie Hallihan

Ascendant’s Executive Director Jacqueline Hallihan has been shortlisted for the Lifetime Achievement Award for Service to the Compliance Industry, which honors the most influential woman who throughout their career has shown dedication and commitment to influence the advancement of the compliance community.

Jackie has over 25 years’ regulatory and risk management experience, and as the founder of National Regulatory Services, helped pioneer the compliance resource business. She went on to found one of the industry’s key member organizations, the National Society of Compliance Professionals (NSCP) non-profit. Last fall, she was honored for her efforts during the organization’s 30th anniversary celebration. A key member of Ascendant’s team since the firm’s inception, Jackie continues to assist firms of all sizes across the regulatory landscape.

In addition, Ascendant was shortlisted for Compliance Consulting Team of the Year, one of only three U.S. teams to gain the honor. The award is open to all providers of consulting services where the team is led by a woman or can demonstrate that the women on the team contribute significantly to the team’s overall success.

Ascendant has several women in key leadership positions including Jackie Hallihan; Korrine Kohm, Director; Allison Fraser, Director; and Eugenie Warner, Senior Consultant & Associate General Counsel. Our female consultants continually lead some of our most successful client engagements, delivering compliance services to firms with billions in assets under management.

Related Content

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

Mailing List

Subscribe to the Ascendant Compliance email list for the latest compliance resources, conferences, ComplianceCasts™, and more.

Loading form...

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.