Compliance 20/20: Insights Into Innovative Compliance Programs

With laser-focused regulators, rapidly evolving technologies and the relentless demands of everyday business, the responsibilities of compliance professionals continue to expand. It’s all too easy to focus on one area of risk or a “hot topic” at the expense of others, leading many to wonder how to keep the entire compliance program in perspective. Compliance … Continued

Compliance Disruptors: Seismic Shifts of the Regulatory Landscape

In today’s business environment, disruption is synonymous with innovation. Disruptors are the heroes of our times, building efficiencies into complex systems and processes. The compliance world is no different. In recent years, we’ve seen an emphasis on big data, an explosion of technology tools and a renewed scrutiny on regulations. As compliance officers’ responsibilities grow, … Continued

A Commitment To Compliance: Climbing The Mountain Of Regulatory Expectations

Changes are impacting the asset management industry from all directions – SEC, Department of Labor, CFTC/NFA, U.S. Treasury, Federal Reserve, and foreign government bodies. New SEC Examination Priorities Enhanced Technology to Detect Fraud New DOL Fiduciary Rule New Business Continuity Rule Proposal FinCEN AML Rulemaking Cybersecurity Enforcement Risks Commodities Regulations Overhaul Responsibility for Oversight of … Continued

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 on key SEC initiatives including current exam priorities. You can design your own conference experience, focusing on the topics most relevant to you, including subjects … Continued

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 Essentials Private Fund Regulation – the SEC’s Focus The Expanding Compliance Universe is a confluence of ever moving, ever changing points of regulations, conflicts … Continued

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 effectively managing this transatlantic cross-section. Call it Enterprise Risk Management and paving the way for growth. Expanding your firm’s footprint … Continued

Complexities of Compliance in a New Era of SEC Initiatives

Ascendant’s Palm Springs Compliance Conference is designed as a forum for investment adviser compliance professionals to: Advance compliance programs to meet the complexities of new SEC examination strategies, rapidly changing technologies and regulatory initiatives Prepare to meet the demands of critical Cybersecurity controls and programs Learn about new solutions, new methodologies, and new ways to … Continued

Latest Content

Cyber Crimes – Don’t Forget to File that SAR!

  Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and investment advisory communities. As pointed out in a 2016 advisory released by the Financial Crimes Enforcement Network (“FinCen”), “Cyber-events targeting financial institutions often constitute criminal activity and can serve as means to commit a wide range of … Continued

DOL Rule Extension to Overlap with SEC Consideration of Fiduciary Standards

Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period, the industry will enter a period of further study for proper standards for disclosure or elimination of conflicted compensation arrangements. That’s a mouthful right there. The Obama administration’s March 31, 2017 implementation of various new prohibited … Continued

Schedule 13D/13F Clarity on ETF Issues

Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an ETF? Generally, no. The SEC has granted no-action relief to ETFs with respect to compliance with Section 13(d) of the Securities Exchange Act. Section 13(d) was designed to require disclosure when holders begin to accumulate … Continued

New Remedy Coming for SEC’s Custody Rule?

The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has caused huge headaches for investment advisers, who are not a party to the agreement and may not even have a copy of the custodial new account paperwork. The issue with existing guidance is that it … Continued

SEC Issues MiFID II No-Action Relief

Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and investment advisers regarding European MiFID II regulations. The letters followed consultation with the European authorities, and are designed to address concerns that investors could lose access to valuable research. MiFID II is a series of regulations … 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.