Charleston 2018 – Conference Questionnaire

We look forward to seeing you at “Compliance 20/20: Insights Into Innovative Compliance Programs” in Charleston, South Carolina.

Please complete the short form below to assist in our conference planning.

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If you have any questions please let us know! You can reach our Conference Director, Deb Galli at 860-435-2255 or email her at dgalli@ascendantcompliance.com.

We look forward to inspiring your commitment to compliance in South Carolina!

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Fifth Circuit Weighs In on DOL Fiduciary Rule

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SEC Proposes Amending Investment Company Liquidity Disclosures in Forms N-PORT and N-1A

On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to the mutual fund liquidity-related disclosure requirements. Specifically, the proposal: Adds a new requirement to “briefly discuss the operation and effectiveness of the Fund’s liquidity risk management program during the most recently completed fiscal year” in the Fund’s Management Discussion of Fund Performance … Continued

Paradigm Shift in SEC Exams, Benefits of a Mock Exam

For investment advisers currently going through an SEC exam, the process likely bears little resemblance to exams of old. Call it the new normal, a paradigm shift, or simply the effects of the SEC having to do more with less, but anecdotal evidence among those now experiencing the exam process suggests some interesting new trends. … Continued

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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.