Ascendant Compliance Solutions Strategies Spring 2019 Conference

Ascendant and Compliance Solutions Strategies conferences, held in prime locations around the United States, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings. In-depth interaction among conference attendees facilitates peer-learning, with guidance and instruction from our panelists and experts. Speakers typically include current and former SEC and FINRA … Continued

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

A New View of How Technology Will Change the Emerging Crytpo-Economy

From the top of the world, it’s amazing what you can see.  I recently had the opportunity to travel to the United Arab Emirates to speak in Dubai at the 7th Edition of the Alternative Investment Management Summit. While I was there, I took a few moments to ride to the top of the Burj … Continued

SEC Retail Investor Focus Turns Towards Registered Investment Companies

Earlier this year when the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2018 examination priorities, OCIE stated that a core priority was to protect retail investors, including seniors and individuals saving for retirement. OCIE is now continuing this effort by focusing on mutual funds and exchanged-traded funds (together, the “Funds”) as the … Continued

SEC Alerts Investment Advisers to Review Solicitor Arrangements

On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk alerts to notify the industry of deficiencies they are finding during examinations, and this latest alert puts investment advisers with solicitor arrangements on notice to check their solicitor agreements, policies and procedures, and disclosure documents. … Continued

Pennsylvania Sounds Warning Bell Over Client Credentials and Custody

The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using client credentials to access a custodial account(s). In the letter dated September 25, 2018, PDOBS indicates that the use of client credentials may create custody and is considered to be a dishonest and unethical practice. … Continued

San Diego 2018 Conference Gallery

Ascendant/CSS San Diego Conference Another compliance conference is in the books. We had a great time in San Diego, and we think our attendees did, too. We hope to see you in Miami! (Click on photos to view full size.)  

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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.