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

Placing Ethics and Compliance in the Foreground of Business Decision-Making

Thinking about how to make ethics and compliance part of a business’s decision-making can prove to be challenging. By nature, compliance professionals are often results-oriented, focusing on a binary end-result; either you are in compliance, or you are not. That focus is important, but emphasizing process is also vital, John Walsh, Partner at Eversheds Sutherland … Continued

What Am I Looking At? Making Sense of Your Cyber Testing Reports

It’s no surprise that Compliance and IT do not speak the same language. Compliance staff often speak in terms of regulations and policies, whereas bits and bytes are the language of IT staff. This distinction is clear when it comes to cybersecurity risk management, as the compliance and IT audiences are looking for different takeaways … Continued

It Takes a Village – Preparing for a Regulatory Exam

Advanced planning for a regulatory exam remains a vital step in ensuring the compliance team is prepared when the exam teams comes knocking. At the recent Ascendant/CSS fall conference in San Diego, Allison Fraser moderated the conference’s capstone session on the topic, joined by Bryan Bennett, the Associate Regional Director in the examination program in … Continued

The ‘Next Frontier’ in Investment Advice

We live in a world filled with dramatic change on a scale we’ve never seen before. The speed and magnitude of change in so many areas is fueled by technology. The sheer number of processes and functions we’re able to address simply from our phones has upended so many different industries, including travel, entertainment, and … 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.