Conference

Complexities of Compliance in a New Era of SEC Initiatives

- The Westin Mission Hills Resort Villas, Palm Springs

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 increase efficiencies
  • Stay current with changing regulations and best practices
  • Keep pace with the ever-evolving world of risk management

The goal of this program is to equip compliance professionals with the necessary tools and strategies for developing and implementing the highest standards of business practice management.

  • Discover new solutions for the rapid and efficient processing of data, analysis, and compliance with rules and regulations
  • Discuss implementation of an Incident Response Management Program

Learn from common trends, the experiences of others and experts in the field:

Past and present SEC staff and examiners

  • Ascendant Consultants
  • Chief Compliance Officers
  • Expert Securities Attorneys

Ascendant Conferences + Education is dedicated to providing attendees with practical solutions and take-aways that they can implement immediately within their firm.

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Fusce auctor augue in pellentesque sagittis. Integer in molestie neque, eu blandit sem. Donec dapibus orci ornare mauris aliquet condimentum. Duis vel lectus in nisi auctor finibus at sit amet augue. Etiam in quam tellus. Aliquam iaculis vitae metus at lacinia. Lorem ipsum dolor sit amet, consectetur adipiscing elit. Nullam congue ac sem a sagittis. Vestibulum eu imperdiet odio, nec iaculis velit. Integer at neque non sem vehicula tristique. Nullam mollis dolor in quam suscipit fermentum et ut augue.

PRE-CONFERENCE WORKSHOPS – $295

8:00-8:45

Pre-Conference Registration & Continental Breakfast

8:45-11:15

Pre-conference Workshop 1: Partnering with IT

  • Cybersecurity: The dialogue begins from the regulatory side
  • The significance of the NEP Sweep Alert in communicating with IT
  • Educational Resources: What you can teach your IT people about technology
  • Gaining a better understanding of critical controls and validating implementation
  • Disruptions including IT Incident Management and how IT and compliance must work together

8:45-11:15

Pre-Conference Workshop 2: SEC Exam Prep: What to Expect When You are Expecting an Exam Including a Discussion on Insurance Needs for IAs

Be prepared! Knowing what to expect during an examination will enable you to prepare yourself and your staff before the document request letter arrives. In addition to understanding the interview process and creating a thorough PowerPoint presentation to introduce your business, understand the importance of adequate insurance coverage based on your business and discover the new insurance coverage available to advisers. Discussion will cover ERISA bonding, E&O, O&D and cybersecurity coverage, among others.

  • Preparing staff for SEC’s interviews
  • The value of document organization
  • Kick off the exam with helpful tips for preparing a thorough “Firm Introductory PowerPoint Presentation”
  • Insurance Primer: Understanding the options and knowing what is needed – ERISA, Cybersecurity, E&O, O&D

Main Conference Agenda

12:00-12:45

Conference Registration

12:45-12:55

Conference Kick-Off

1:00-2:00

Keynote Address: Guarding Against Deviance From Workplace Best Practices Colonel Mike Mullane, NASA Astronaut (Retired)

2:05-2:15

Vendor Introductions

2:20-3:20

Big Data in Motion: Implications for Compliance: Understanding and Managing Data

Use of big data is a fundamental shift in SEC strategy. Consider the ever-accelerating pace of technology changes. OCIE is now running a battery of 50 tests on your trade data (and growing). Data is a current focus of SEC examiners. New compliance implications and impact to consider regarding:

  • Risks
  • Procedures and controls
  • Internal systems
  • Proprietary trading systems
  • Vendor due diligence
  • Data flows must be understood for comprehensive Business Impact Analysis
  • Incident forensics and the need to understand breach extension
  • Understanding and managing data impact, and ensuring document protection, management, BCP controls and books and records management in a cloud-based world
  • Implications of errors – mistakes can lead to breach and disclosure requirements
  • Controls to consider

3:20-3:35

Networking Break

3:35-4:35

Concurrent Sessions:

Track A: Effective Compliance Testing: Targeting the Potential Weakness in Your Program

  • Focused trade blotter analysis
  • Identifying outliers in composites
  • Appraising fee calculations for accuracy
  • Detecting drift from investment policies and strategies
  • Highlighting new areas for testing to strengthen your program

Track B: You’ve Had a Breach, Now What? Cybersecurity and Incident Response
Data breaches at financial institutions are becoming increasingly prevalent. Both FINRA and the SEC are in the midst of conducting an industry sweep to assess firms’ cybersecurity preparedness which includes an assessment of your Incident Management and Response Program. SEC Chairman Mary Jo White has publicly stated that cybersecurity controls at financial firms fall under the Commission’s jurisdiction to protect market integrity and client data. What emerged from the SEC’s Cybersecurity Roundtable: All firms must have in place Incident Management to deal with attempted and actual IT security incidents and breach. Are you prepared?

Covered during this panel:

  • Repeatable and best practice steps for Incident Management and Response
  • Detect: Continuous monitoring and the importance of early recognition
  • Respond: Gain understanding of both Federal and State breach reporting requirements
  • Recover: The steps you need to move forward, minimizing regulatory and business damage

4:40-5:30

Discussion Groups:

Group 1: Building a Solid Compliance Program and Overview of New Rules: Mastering Essentials
The foundation is critical. Make sure your program is on solid footing by attending this session to review critical elements of a good program and review and master fundamentals regarding new rules. What a great way to review current as well as the past few year’s changes. Master these essentials!

Group 2: Valuation: 10 Take-Aways
Valuation continues to be at the forefront of regulator’s concerns and a continued item on the 2014 Exam Priorities list. What can be learned from these top 10 takeaways?

  • SEC cited deficiencies
  • Making the Valuation Committee an effective tool for Compliance Minutes
  • Benchmarking policies and procedures that work
  • A reference tool for self-assessment… And more!

Group 3: Improving Email Surveillance – Make it Meaningful

  • Great tools for leveraging efficiencies
  • Sharing best practices, tips of the trade!
  • Creative ways for streamlining and making email review really meaningful
  • Have a tip that worked wonders? Share it in this lively discussion group

5:30-7:30

Welcoming Reception & Exhibitor Showcase

7:00-7:50

Breakfast

7:50-8:00

Housekeeping & Introductions

8:00-8:15

Vendor Introductions

8:20-9:00

Special Presentation: New SEC Strategies & Exams: Prepare for a New World Richard Marshall, Partner, Ropes & Gray

9:05-10:00

Follow the Money: How to Read and Spot Red Flags in Financial Documents
Many CCOs are not trained accountants. This session will provide guidance on looking at books and records like an SEC examiner.

  • Financial considerations for CCOs: Reviewing balance sheets, expenses, and other compensation trails
  • Ascertain how to identify red flags and potential areas of concern
  • Gather knowledge on why valuation is an SEC 2014 exam priority

10:00-10:15

Networking Break

10:15-10:25

Vendor Introductions

10:30-11:25

How to Be A Step Ahead of SEC Expectations: Beyond Risk Assessment, Advancing Your Compliance Program
You’ve read the 2014 priorities and speeches—now how to be a step ahead? Learn about current SEC initiatives, and hear from panelists regarding forward-thinking strategies that keep your program a step ahead. Take your risk assessment and review to the next level.

11:30-12:45

Practical Cybersecurity Implementation
The Role of Compliance in Doing it Right – The government has leveraged existing standards and industry best practices in the design of an agnostic and manageable framework for improving cybersecurity. This panel will examine the necessity and practical implementation of the National Institute for Standards and Technology (NIST) “Framework for Improving Critical Infrastructure Cybersecurity.”

  • From the top down, is the government getting it right?
  • Costs and Incentives: Can we afford to implement effective cybersecurity? Can we afford not to?
  • Starting the process and minimum expectations
  • Understanding your “Current” and “Target” profiles
  • Lost in Translation? Speaking the same language as regulators

12:45-1:45

Luncheon

1:45-2:45

Concurrent Sessions:

Track A: SEC Big Data Projects, Trading and the National Exam Analytics Tool (“NEAT”)

  • Introduction to the National Exam Analytics Tool (“NEAT”)
  • Chairwoman White refers to it as a revolutionary new instrument allowing examiners to access and analyze vast amounts of trading data
  • Discover the new ways technology is changing the examination process for investment advisers

Track B: Focused Examination of Private Equity Firms by the SEC
Lessons to be learned from recent exams, 2014 Priorities, past year’s sweeps, speeches, and conversations. This session is a concentrated focus of examinations of PE firms. Be prepared for a regulatory exam and learn from the experiences of other professionals. Leave with practical information to help you succeed.

2:45-3:00

Networking Break

3:00-3:10

Vendor Introductions

3:10-4:10

“Broken Windows” – All-Encompassing Enforcement
The SEC has indicated it is looking at all types of rule violations, emphasizing enforcement can result from any type of infraction—based on the “Broken Windows” concept. Social scientists claim that if one window in a building is broken and left unfixed, it is likely that the rest of the windows will be broken soon, too. The “broken windows” theory is that people take cues from their surroundings and calibrate their behavior based on what they see. Thus “broken windows” are a symbol of unaccountability.

  • Unearth why the small infractions may weigh heavier during regulatory examinations
  • Develop your own zero-tolerance policy for compliance violations

4:15-5:30

CONCURRENT SESSIONS Choose between interactive Ethics Session for CE credits or Discussion Group Setting

Building An Ethical Reputation: The Foundation of Trust

  • Placing situations in an ethical framework
  • Recognize how your employees might falter and how to prepare them
  • Guiding principles to face real-life situations via case study participation

Discussion Group 1: New Age of Marketing: Same Rules, New Considerations

  • Apply new SEC guidance when conducting reviews
  • Discover how to apply ancient rules and no-action letter positions to modern-day methods of advertising
  • Explore how to effectively utilize social media in a compliant way- it is possible!
  • Return to your firm with real guidance and knowledge to train your sales staff

Discussion Group 2: The Current Threat Landscape – Surveying & Surviving Potential Threats to Your Business
Add new cybersecurity priorities to your Risk Management and 206(4)-7 responsibilities. Join Ascendant and your peers as we discuss current and emerging internal and external threats that can impact your business by increasing the risk of financial harm, reputational harm, or breach of fiduciary duty to clients. Determine accessible industry reports you should be reviewing and hear from others in the space regarding threats and attacks. Assess the effectiveness of your policies and procedures to effectively manage threats and vulnerabilities. Plus, receive training materials at this roundtable that you can use at your firm as part of training required by Regulation S-ID.

  • Learn about existing and emerging threats and vulnerabilities
  • Share information with your peers and hear what they are experiencing
  • Develop a plan for monitoring your environment to detect cybersecurity events
  • Aggregate resources you or your team should be referencing to stay current with the threat landscape

6:30-9:00

Reception / Dinner

7:45-8:30

Breakfast

8:30-8:40

Opening Remarks

8:40-8:50

Vendor Introductions

8:55-9:40

Special Presentation: Ethics for the Financial Industry Jeff Lanza, FBI Agent (Retired), The Lanza Group

9:45-10:45

Empowering Your Employees Through Training: Meaningful Compliance Training

“An investment adviser’s procedures for informing its employees about its code of ethics are critical to obtaining good compliance and avoiding inadvertent violations of the code. Although we do not believe it is necessary to require employee education as an element of codes of ethics, we expect most advisory firms will ensure that their employees have received adequate training on the principles and procedures of their codes.” Code of Ethics Final Rule Release

The SEC is expecting firms to provide Compliance Training: So are you?

  • Learn how to provide valuable, effective compliance training on all areas of your compliance program.
  • Gain suggestions on reaching your target audience
  • Benefits of using third-party service providers to provide the training

10:45-11:05

Networking Break

11:05-12:00

Tackling Social Media: Quarterbacking Your Firm’s Social Footprint
Every good quarterback has a playbook- develop yours via this informative session. Learn ways to embrace social media within the confines of the Advertising Rules and recent SEC guidance. Don’t fumble trying to understand what could or could not be deemed a testimonial. Understand the obstacles and score your own compliance touchdown.

12:05-1:00

Enhancing Compliance Policies & Procedures: Filling the Void, Common SEC Deficiencies Addressing Compliance Manuals
The essence of the Compliance Program rule is identifying risks and ensuring effective and adequate policies and procedures to prevent violations of law …Ultimately helping to protect the investing public.

  • Learn where OCIE examiners continually find inadequacies in adviser’s policies
  • Consider a vast array of procedures related to recent alerts and regulations
  • Compliance policies versus Operations policies – defining both

Discover how to make your policies effective, accurate and adequate!

End of Conference

Lorem ipsum dolor sit amet, consectetur adipiscing elit. Curabitur id aliquam sem. Nullam consequat urna sed ex blandit, blandit posuere metus ultrices. Nam vulputate interdum dolor vitae posuere. Nam et mi mi. Nulla vitae nisi dolor. Fusce mi libero, porttitor vitae convallis sed, porta ut est. Cras et metus sagittis, ornare tortor at, ultricies enim. Quisque a metus eros. Nunc suscipit interdum risus eget ornare. Cras nulla ex, maximus id lobortis eu, malesuada quis neque. Aliquam tincidunt, mauris pharetra maximus sodales, dolor sapien vulputate ipsum, bibendum iaculis felis neque vitae est. Sed ornare augue a metus interdum pellentesque. Proin et tincidunt lacus, vel accumsan justo. Nulla iaculis elementum ligula ut interdum. Duis non ligula sollicitudin, sagittis dolor non, bibendum lorem.

Fusce auctor augue in pellentesque sagittis. Integer in molestie neque, eu blandit sem. Donec dapibus orci ornare mauris aliquet condimentum. Duis vel lectus in nisi auctor finibus at sit amet augue. Etiam in quam tellus. Aliquam iaculis vitae metus at lacinia. Lorem ipsum dolor sit amet, consectetur adipiscing elit. Nullam congue ac sem a sagittis. Vestibulum eu imperdiet odio, nec iaculis velit. Integer at neque non sem vehicula tristique. Nullam mollis dolor in quam suscipit fermentum et ut augue.

Larry Clinton

President & Chief Executive Officer

Internet Security Alliance (ISA)

Jessica Cole

Senior Compliance Manager

Invesco Advisers, Inc.

Larry Cowen

Vice President, Managing Director

Ascendant

Glenn Doggett

Director, Standards of Practice

CFA Institute

Andy Fotopulos

President

Starkweather & Shepley Insurance

John J. Gentile

Director of Private Fund Manager Services, Director of Broker-Dealer Services, Partner

Ascendant

Kevin Goodman

Associate Director, Broker-Dealer Examinations Office of Compliance Inspections and Examinations

U.S. Securities and Exchange Commission

Charles Liao

Assistant Director IA/IC Program (Los Angeles)

U.S. Securities and Exchange Commission

Dan Haynes

Senior Consultant

Ascendant

Michelle Jacko
, Esq.

Managing Partner

Jacko Law Group, PC.

Brian Kawakami

Partner, Managing Director

Ascendant

Katie Kloster

Chief Compliance Officer

Varde Partners

Korrine Kohm
, CFE

Director of Retail Wealth Manager Services, Partner

Ascendant

Jeff Lanza

FBI Special Agent (Retired)

The Lanza Group

Christine Lombardo

Associate

Morgan Lewis & Bockius LLP

David Lui

Principal

Galliard Capital Management

Keith Marks

Executive Director, General Counsel

Ascendant

Richard Marshall

Partner

Katten Muchin Rosenman

David Mrazik
Colonel Mike Mullane

NASA Astronaut (Retired)

Art Zwickel

Partner, Corporate Department

Paul Hastings

Ali Pabrai

Cyber Investigations & Analytics, Advisory Managing Director

KPMG LLP

Salvatore J. Papa

Partner, Director

Ascendant

Ronald E. Plesco, Jr.

Cyber Investigations & Analytics, Advisory Managing Director

KPMG LLP

David Porteous

Partner

Faegre Baker Daniels LLP

Veronica Stork

Chief Compliance Officer

Daruma Capital Management

Mike Suppappola

Partner

Proskauer Rose LLP

Bradley Swenson

SVP & CCO

ALPS Fund Services, Inc.

Robert Van Grover

Partner

Seward & Kissel

Arlana Williams

Staff Accountant

U.S. Securities and Exchange Commission (Los Angeles)

Andy Wilson

Managing Director

Wilson & Turner Incorporated

E.J. Yerzak
, CISA, CISM, CRISC

Director of Cyber IT Services, Partner

Ascendant

Larry Clinton

President & Chief Executive Officer

Internet Security Alliance (ISA)

Larry Cowen

Vice President, Managing Director

Ascendant Compliance Management

Andy Fotopulos

President

Starkweather & Shepley Insurance

Kevin Goodman

Associate Director, Broker-Dealer Examinations Office of Compliance Inspections and Examinations

U.S. Securities and Exchange Commission

Dan Haynes

Senior Consultant

Ascendant Compliance Management

Brian Kawakami

Partner, Managing Director

Ascendant Compliance Management

Korrine Kohm
, CFE

Director of Retail Wealth Manager Services, Partner

Ascendant Compliance Management

Christine Lombardo

Associate

Morgan Lewis & Bockius LLP

Keith Marks

Executive Director, General Counsel

Ascendant Compliance Management

David Mrazik
Art Zwickel

Partner, Corporate Department

Paul Hastings

Salvatore J. Papa

Partner, Director

Ascendant Compliance Management

David Porteous

Partner

Faegre Baker Daniels LLP

Mike Suppappola

Partner

Proskauer Rose LLP

Robert Van Grover

Partner

Seward & Kissel

Arlana Williams

Staff Accountant

U.S. Securities and Exchange Commission (Los Angeles)

E.J. Yerzak
, CISA, CISM, CRISC

Director of Cyber IT Services, Partner

Ascendant Compliance Management

Jessica Cole

Senior Compliance Manager

Invesco Advisers, Inc.

Glenn Doggett

Director, Standards of Practice

CFA Institute

John J. Gentile

Director of Private Fund Manager Services, Director of Broker-Dealer Services, Partner

Ascendant Compliance Management

Charles Liao

Assistant Director IA/IC Program (Los Angeles)

U.S. Securities and Exchange Commission

Michelle Jacko
, Esq.

Managing Partner

Jacko Law Group, PC.

Katie Kloster

Chief Compliance Officer

Varde Partners

Jeff Lanza

FBI Special Agent (Retired)

The Lanza Group

David Lui

Principal

Galliard Capital Management

Richard Marshall

Partner

Katten Muchin Rosenman

Colonel Mike Mullane

NASA Astronaut (Retired)

Ali Pabrai

Cyber Investigations & Analytics, Advisory Managing Director

KPMG LLP

Ronald E. Plesco, Jr.

Cyber Investigations & Analytics, Advisory Managing Director

KPMG LLP

Veronica Stork

Chief Compliance Officer

Daruma Capital Management

Bradley Swenson

SVP & CCO

ALPS Fund Services, Inc.

Andy Wilson

Managing Director

Wilson & Turner Incorporated

The Westin Mission Hills Golf Resort & Spa

71333 Dinah Shore Drive
Rancho Mirage, CA 92270
Phone: 760.328.5955 Fax: 866.422.9914
Reservations: 877.253.0041
Web: http://www.WestinMissionHills.com

The Westin Mission Hills Golf Resort & Spa is nestled in the Coachella Valley at the base of California’s San Jacinto Mountains in the secluded desert oasis known as Rancho Mirage. Surrounded by the beautiful desert wilderness and dramatic mountain backdrop, this resort oasis and world-class golf and spa destination offers a full roster of on-site activities. Two 18-hole golf courses – Gary Player Signature Course and Pete Dye Resort Course; lighted tennis courts, rental biclycles and the Westin WORKOUT fitness center complete with sauna and steam room; three swimming pools, whirlpool spas, cabanas and a water slide; three distinctive restaurants – Las Brisas Café and Caliente Bar, Pinzimini restaurant and Mission Hills Market & Café. For a rejuvenating journey of renewal, The Spa at Mission Hills offers an expansive menu of desert-inspired treatments to revive your skin, body and spirit. The Spanish-Moorish architecture and landscaping of the resort reflect the natural beauty of the desert and moments away, are a myriad of famous Palm Springs sights and attractions, including shopping and dining to be enjoyed.

Reservations
Ascendant Compliance Management has reserved a block of rooms at The Westin Mission Hills Golf Resort & Spa for the nights of September 28 – October 1. For room reservations please call 877.253.0041 or 800.228.3000 and reference the Ascendant Compliance Conference to receive the group rate of $179 per night, single/ double. Alternatively, a website has been created for Ascendant Conference participants to book, modify, or cancel a reservation from now until October 5, 2014.

Click here to access the site.

The rate offered is available three days before and after the event, subject to availability. The cut-off date for the group rate is August 29, 2014, so be sure to make your reservation before this date. It is important to make your reservation as early as possible!

Ground Transportation
The Westin Mission Hills Golf Resort & Spa is located only 6 miles from the Palm Springs International Airport (PSP). Non-stop routes include Calgary, Chicago, Dallas/Fort Worth, Denver, New York (JFK), Seattle

Taxis are available at the airport outside baggage claim and fares are between $35 and $40, one way. Alternatively, town cars are available from Ace Transportation, Ph: 800.233.6393 ($55 one way, plus 16% service charge and taxes); also SUVs ($65 one way, plus 16% service charge and taxes). Ace Transportation vehicles wait outside baggage claim for their passengers and drivers will have signs for identification. Approximate driving distances to The Westin Mission Hills: Ontario International Airport – 70 miles and Los Angeles International Airport (LAX) – 110 miles.

Local Attractions

  • Bike tours of Palm Springs canyon
  • Palm Springs Aerial Tram – travel aboard the world’s largest rotating tramcar with spectacular view of the desert below
  • Desert Adventures – guided Jeep eco-adventure tours along the San Andreas Fault, through pristine wilderness
  • Palm Springs Art Museum
  • Shops on El Paseo
  • Cabazon Outlets & Desert Hills Premium Outlets
  • Palm Springs Air Museum
  • Sunnylands – historic home of Ambassador Walter and Leonore Annenberg (visitors included Presidents, British Royalty, political figures and icons) is an education center, desert garden, and solar farm featuring exhibitions, programs, films, and tours
  • McCallum Theater

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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

Regulatory Changes Impacting RICs and Service Providers

A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk management programs and swing pricing. New forms N-Port and N-Cen along with amendments to Regulation S-X significantly change the current reporting regime for most registered investment companies (RICs) because they require more comprehensive disclosure and … Continued

Publicly Available Information Heightens Need for Cybersecurity Vigilance

For any business, “ports” that allow for communication generally need to be open (for example, ports 80 and 443 for websites, and port 500 for VPN access). While most of these ports allow you to engage in critical functions, there are often ports that remain open despite being unneeded or unused. These available ports present … 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.