Highlights of 2016, A Look Forward to 2017

Join Ascendant to review new IA regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation. Last December, Ascendant ComplianceCasts predicted the “pendulum swings some” in 2016. The presentation will cover up-to-date regulatory information and issue summaries … Read more

Portfolio Management and Trading

Portfolio Management and Trading Broadcast Date: Thursday, Nov 17, 2016 at 2pm ET Learning objectives: Portfolio Construction and Implementation Processes Understanding the Trading Life Cycle Order Aggregation and Trade Sequencing Concepts Why Automate? An Overview of the Automation Trends Revolutionizing the … Read more

Due Diligence of Third-Party Service Providers

Due Diligence of Third-Party Service Providers Broadcast Date: Thursday, Oct 13, 2016 at Noon ET Learning Objectives: Regulatory Expectations Identifying Your Firm’s Service Providers Assessing a Service Provider’s Risk to Your Organization Onboarding New Service Providers Oversight of Service Provider … Read more

Ethics: Who Cares and Why Care?

Ethics: Who Cares and Why Care? Broadcast Date: Thursday, Sep 15, 2016 at 11am Eastern Learning Objectives: Learn how compliance can place ethics at the forefront of all employees’ minds. Discover how a firm’s culture can move the needle of … Read more

Planning for the Annual Review and Reporting

Planning for the Annual Review and Reporting Broadcast Date: Wednesday, Aug 17, 2016 at 2pm Eastern Learning Objectives: Who Conducts and How to Conduct the Annual Review Planning and Documenting the Annual Review Testing the Adequacy and Effectiveness of Policies and … Read more

Troubleshooting CFTC and NFA Deficiency Concerns for Advisers

Troubleshooting CFTC and NFA Deficiency Concerns for Advisers Broadcast Date: Thursday, Jul 14, 2016 at 2pm Eastern Learning Objectives: Overview of the current CFTC and NFA landscape Understand the obligations of exempt CPOs/CTAs Learn about NFA concerns that prompt examinations Hear … Read more

Navigating the Minefield of Regulatory Filings & Forms

Navigating the Minefield of Regulatory Filings & Forms Broadcast Date: Thursday, June 16, 2016 at 2pm Eastern Current snapshot of required filings Identifying difficult aspects Methods for managing Current regulatory concerns Forms: ADV, 13H, 13F, 13D, 13G, PF, SLT, TIC, SHC, … Read more