Conference Sponsors-Exhibitors Thought Leadership Sponsors Our premier conferences give your company exclusive access to CCOs, operations managers, and senior management from some of the world’s largest financial firms. The majority of our attendees come from firms with assets in excess … Read more
Wednesday, April 5, 2017 The Ritz-Carlton Golf Resort, Naples Join Ascendant Compliance Management and Broadridge for our 4th Charity Golf Tournament! Our last event raised over $13,000 for Childhood Cancer Kids! This year our golf tournament will benefit Make-A-Wish Foundation … Read more
A Commitment To Compliance: Climbing The Mountain Of Regulatory Expectations.
The Quest for Compliance: Prevention, Detection and Mitigation of Risk Welcome to Orlando as you continue your ongoing quest for compliance. Our conference was diligently planned with the goal of providing you a guide for compliance success, with an emphasis … Read more
The Expanding Compliance Universe: Advanced Perspectives and Practical Solutions A Year of Regulatory Change SEC Requirements – What’s New and What’s on the Horizon Essential Components of a Compliance Program Evolving Compliance Monitoring and Testing Expectations Understanding Regulatory Filings Cybersecurity … Read more
Expanding and Harmonizing the Footprint Exploring the regulatory landscapes of the US and the UK – highlighting key similarities and differences Compliance Program Management: FCA and SEC Regulations Intersect Ascendant Compliance Management and CCL partner to educate compliance professionals on … Read more
More than 21 hours of compliance training in less than three days. Compliance as Gatekeepers NextGen Skills for Effective Compliance Management More than 21 hours of compliance training in less than three days. Compliance is a key guardian, protector, and … Read more
Complexities of Compliance in a New Era of SEC Initiatives | New SEC Exam Tools & Strategies | Advancing Technologies | Cybersecurity | Implementation Essentials Ascendant’s Palm Springs Compliance Conference is designed as a forum for investment adviser compliance professionals … Read more
Our conferences will continue to have the best securities minds in the industry. Our interactive approach will follow all of the latest trends in SEC examinations, disclosure requirements, fundamentals of compliance program development, trading and soft dollar issues, books and records (including email retention), marketing and advertising, and forensic testing, among other topics.