Decrypting Regulations: Cracking the Code to Powerful Compliance Programs

Compliance oversight of the financial services industry continues to experience transformations at the speed of business, accelerated by dynamic technological advancements and shifting regulatory priorities. While staying abreast of cornerstone compliance topics such as annual reviews, personal trading and portfolio management is always challenging, compliance teams are now also tasked with learning about subjects including … Continued

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

Past Conference Speaker Inspiration for The Rock’s Next Blockbuster

If you attended Ascendant’s 2016 San Diego conference,  you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff is a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. In San Diego, he spoke about turning challenges into triumphs, and about succeeding in the face of … Continued

Relief at Last – New Guidance on Inadvertent Custody

The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs. In Question II.11 and II.12, the SEC stated that it would not recommend enforcement against an adviser that does not have a copy of a client’s custodial agreement, and does not know or have reason … Continued

Standards of Business Conduct: Personal Trading and Beyond

One of the most important assets a firm can possess is a sterling reputation, and maintaining such a reputation involves proactive attention. While most firms address standards of business conduct in their Codes of Ethics, it’s important to periodically reassess and update them. By incorporating technology, firms can mitigate reputational risk and maximize efficiency throughout … 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.