Advertising & Marketing Compliance: The Rules, Hot Topics & Reviewing Tips

This ComplianceCast covers the following topics: Investment Adviser Advertising Rules and No-Action Guidance Performance Advertising – General Requirements, Model Performance & Hypothetical Back-tested Performance Use of Third-Party Performance in Advertising – Disclosures & Caveats Considerations for Different Types of Media … Read more

Implementing Recent SEC Custody Guidance

The Impact on Thousands of Advisory Firms Ways an Adviser May Inadvertently Have Custody Practical Implications Next Steps More Surprise Examinations: Client Communications and Agreements This ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now … Read more

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