Conference

Decrypting Regulations: Cracking the Code to Powerful Compliance Programs

- San Diego, California

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 cybersecurity, ICOs, AI, cryptocurrency and blockchain, and their regulatory implications.

At Ascendant’s fall conference in San Diego, we’ll help compliance professionals understand the implications of these new areas to programs, explore innovative ways to look at foundational compliance topics, and deconstruct developing regulations and initiatives such as fiduciary standards, implications of European regulations on U.S.-registered advisers, and marketing in a digital world.

The event will bring together top regulators and industry experts to discuss today’s compliance challenges for investment advisers, registered investment companies and private funds. From the impact of new and developing regulatory initiatives to effective utilization of compliance tools to managing people, processes and technology, join us to crack the code for developing powerful compliance programs.

San Diego 2018 Priority List

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Ascendant’s conference is dedicated to providing a cutting-edge experience, with progressive solutions and takeaways for attendees to bring back to their firms.

8:00-9:00

Pre-Conference Registration

8:00-9:00

Pre-Conference Breakfast

9:00-11:30

Pre-Conference Workshop 1
Cyber Incidents and Response: Keeping Cool in the Line of Fire
Content Track: Cybersecurity
What happens when a cyber incident goes from being a little “i” incident to a big “I” Incident involving personal data with prompt reporting deadlines under GDPR or state regulations? In this workshop, you will get to participate in an interactive cyber breach scenario where you gain insights and perspective of the C-Suite during a breach. Led by Intelligence Community and U.S. Navy veteran Jeff Welgan, you will learn how cyber risk is ultimately an enterprise risk issue with real business implications, and you will feel the executive heat as business decisions need to be made despite “the fog of war” effect during a cyber crisis. Take these lessons back to your firm with a new perspective for your staff’s compliance and cybersecurity training.

Pre-Conference Workshop 2
Can Your Firm Really Say That? Marketing and Advertising Dos and Don’ts in a Digital World
Content Track: Compliance Program
A cornerstone of an effective adviser compliance program is managing your firm’s marketing and advertising. In today’s world, the compliance program needs to include controls for conveying your firm’s message using social media and other technology. It’s not just what’s on paper. Our workshop will give you the tools to develop or enhance your firm’s marketing/advertising review process. We’ll review:
• The SEC’s regulatory guidance establishing the rules of the road
• Challenges pertaining to use of social media and digital marketing
• Sample marketing materials
• Books and records requirements for digital marketing, performance advertising and “old school” materials

 

12:00-1:00

Conference Registration

1:00-1:15

Conference Kickoff: Welcoming & Introduction

1:15-2:30

OPENING KEYNOTE
Content Track: Hot Topics
SEC Office of Compliance Inspections and Examinations Director Peter Driscoll will meet with conference attendees to discuss current SEC exam initiatives and the work of OCIE.

2:30-2:45

Networking Break

2:45-2:55

Meet the Compliance Solutions Providers

2:55-4:00

GENERAL SESSION
Working Things Out Before Enforcement is at the Door
Content Track: Compliance Program
There are times when it is apparent that a regulatory inquiry or examination isn’t going to end well. Is there anything your firm can do to stop the train wreck from happening? Our expert panel will consider: when and how to engage a compliance consultant to evaluate an issue and assist with developing a remediation plan; when to engage outside counsel; whether your firm should self-report; and other approaches to keeping the regulators at bay.

4:00-5:00

BREAKOUT SESSION (1 of 3)
Best Practices for SEC and GIPS Performance in the Private Fund Space
Content Track: Private Funds

The constant pressure on fund managers to achieve higher returns can lead to critical missteps in the advertising of fund performance. The SEC will always scrutinize a fund manager’s performance advertising as highlighted by recent SEC enforcement cases. This panel will address the importance of adequately disclosing fee practices and other conflicts of interest to fund investors in advertisements and investor reports, and of adequately reporting performance, particularly when model and back-tested performance is used. In this session, we’ll review recent SEC activity and provide suggestions on sound practices in the area of performance advertising to support SEC compliance. The panel will also discuss how guidance in the Global Investment Performance Standards (GIPS) of the CFA Institute can help address common challenges in measuring and reporting performance within an SEC regulatory framework.

BREAKOUT SESSION (2 of 3)
The Forensic Files – Using Risk Assessments, Ongoing Testing and Annual Reviews to Uncover the Gaps in a Compliance Program
Content Track: Hot Topics
Uncovering the “holes” in your firm’s compliance program requires digging beyond the surface and continually evaluating whether controls are operating as intended. It also means staying abreast of regulatory initiatives, new products offered by your firm and system implementations. This session will focus on:
• Developing and maintaining a comprehensive risk assessment
• Evaluating policies by testing controls and assessing processes
• Utilizing systems to sort and manage data
• Taking a fresh look at Rule 206(4)-7 annual reviews

BREAKOUT SESSION (3 of 3)
The Impact of Women in Compliance
Content Track: Career Development
Compliance remains one of the career paths that has most reliably pushed women toward the C-suite, adding to diversity within numerous financial services firms. In this session, hear from leading women in the compliance field as they discuss their career climbs and the challenges unique to women in compliance.

 

5:00-7:00

Welcoming Reception

6:30-7:30

Yoga on the Pointe
We designed the Ascendant conference to feed your brain, packing it with vital information and the latest developments in compliance. But we haven’t forgotten the importance of balance in the equation, and how nourishing your body can strengthen your mind. Join us for morning yoga to refocus, re-energize and jumpstart your day.

Meet in the lobby at 6:20 to check in, and pick up your mats, towels, and water bottles. The group will walk to The Pointe (located outside of Building 5).

7:30-8:30

Breakfast

7:45-8:30

CHAT ROOM (1 of 3)
How to Leverage Technology to Manage Your Compliance Program
Content Track: Career Development
Technology is changing every day and impacting how firms do business and manage their compliance programs. Don’t be left behind! Compliance needs to embrace technology tools to strengthen their forensic and surveillance mechanics. For all firms, even those under budget constraints, this session will engage in group discussion of technology tools for the success of every aspect of your compliance program.

CHAT ROOM (2 of 3)
Multi-Jurisdictional Compliance: A Discussion of Non-US Regulations Impacting Advisers
Content Track: Compliance Program
External regulations continue to creep into the U.S. investment advisers space, making compliance professionals’ responsibilities even more challenging. This session will address the multitude of EU, Cayman and other regulations impacting U.S. advisers. Learn about new privacy, data protection and AML rules, such as GDPR, MiFID and the implications of Brexit.

CHAT ROOM (3 of 3)
Examining Your Firm’s Code of Ethics
Content Track: Ethics
Cryptocurrency investments aren’t the only things that can leave compliance officers mystified. Are whistleblower policies best left to human resources, or do they have a place in your Code of Ethics? What’s the best way to set up reporting structures? Hear from your peers how they handle these and other potential conflicts of interests. Find out how other compliance professionals prevent their Code from being cracked.

8:30-8:35

Morning Welcome

8:35-8:45

Meet the Compliance Solution Providers

8:45-9:45

SPECIAL PRESENTATION
Placing Ethics and Compliance in the Foreground of Business Decision Making.
Content Track: Ethics
This keynote presentation addresses the topic of behavioral ethics and its importance to the Compliance Industry. A longtime advocate of ethics, John Walsh has written many scholarly articles and presented to many audiences on the importance of ethics. He provides comprehensible guidance on how firms can incorporate ethics into their everyday functions.

9:45-9:50

Five-Minute Stretch

9:50-10:00

Meet the Compliance Solution Providers

10:00-11:00

GENERAL SESSION
The Future of the Financial Services Industry
Content Track: Portfolio Management & Trading
Technology is fundamentally transforming all aspects of the financial services industry. What will the future look like? This lively breakout session will cover a lot of ground in a short period of time. We’ll discuss how artificial intelligence, blockchain, and big data will be used in the future, from portfolio management to back office functions. Will roboadvisers take over? What will a future compliance department look like? Our experts will tell us what they think.

11:10-11:15

Networking Break

11:15-12:15

BREAKOUT (1 of 3)
Working with Aging Clients: Understanding the Challenges Unique to Working with Senior Clients and Vulnerable Adults
Content Track: Retail Wealth Management
The SEC and FINRA have increased their focus on this demographic and so should investment advisers. Obtain a primer on the signs of diminished capacity and the Compliance Considerations that relate.

BREAKOUT (2 of 3)
The World of Private Funds – Understanding What’s on the Regulatory Horizon
Content Track: Private Funds
For the past few years, the SEC has included a number of initiatives pertaining to private funds on its annual priorities list. While the 2018 list may have included other areas of focus, there are still a number of regulatory developments that impact private funds. The panel will consider: what can be learned from prior SEC enforcement actions; where the SEC is currently focused and where it may be heading; and the impact of EU regulatory initiatives on an adviser’s business.

BREAKOUT (3 of 3)
The Compliance Professionals’ Guide to Effective Trade Desk Monitoring
Content Track: Portfolio Management & Trading
Global regulations continue to place pressure on buy-side firms to implement systematic trade surveillance and monitoring processes. Yet, many firms are still in the beginning phases of adoption. This session will discuss the regulatory developments that continue to play a role in the transition of trade surveillance responsibilities from the sell-side to the buy-side. Our panelists will provide an overview of the technology framework required to adequately address trade surveillance, and the types of trading activities to consider in the design and development of systematic processes and controls.

 

12:15-1:30

Lunch

1:30-2:45

SPECIAL PRESENTATION
Goldrush! Fundamentals of Blockchain and Cryptocurrency
Content Track: Compliance Program

Interest in cryptocurrencies has exploded like a modern-day gold rush, with the number of cryptocurrencies rocketing from one to over 1,600 in the past few years. Fear of Missing Out is leading to some people and firms investing in the space without fully understanding it. In this special presentation, our expert explains the fundamentals of cryptocurrency and relates the underlying blockchain technology into concepts we can all understand.

Panel: Block Party: Regulating Cryptocurrency Investing, Blockchain, and Initial Coin Offerings (ICOs)
The block(chain) party is in full swing, and while some may think the U.S. and international regulators were late to the party, they have certainly made an entrance as they seek to protect investors. With SEC, CFTC, and state regulators ramping up investor education and enforcement, we now have some clarity on regulatory expectations, as well as more questions as the cryptocurrency space continues to evolve. This expert panel will discuss:
• Securities and investment contracts: Applying the Howey test
• Recent enforcement actions against advisers and exchanges, and how to stay above the fray
• Educating the public: identifying the fraud
• Compliance considerations of cryptocurrency and blockchain – from Code of Ethics to Custody and Valuation
• Regulating the space while fostering innovation

2:45-3:45

BREAKOUT (1 of 3)
Fiduciary Debate Part 2: Update on Standard of Conduct for Investment Advisers
Content Track: Retail Wealth Management
The SEC has proposed the Standards of Conduct Rule to address the fiduciary standard. Will the passing of the rule end the great debate about the Fiduciary Standards? This presentation will provide a status update on where we are in the rulemaking process and how this potential rule will impact the investment industry!

BREAKOUT (2 of 3)
What to Expect in RIC Regulations – The Landscape Today and What Tomorrow Will Bring
Content Track: RICs
Current and proposed regulations for registered investment companies can often be described as hurry up and wait. This panel will discuss the status of regulatory initiatives impacting RICs and what compliance professionals should be doing to be prepared. Among the topics that will be addressed are:
• The Liquidity Rule (of course)
• Form N-CEN
• Electronic Distribution of Fund
• Share Class Disclosure Initiative
• Distribution-in-Guise and 12b-1 Plans

BREAKOUT (3 of 3)
Private Fund Testing Workshop
Content Track: Private Funds
Determining the efficacy of a firm’s compliance program requires continual monitoring and assessments. Controls can be evaluated using a variety of methods, including transactional, periodic and forensic testing. This session will provide a “hands-on” approach to discuss practical testing strategies to address key regulatory and supervisory concerns. The panel will focus on the unique aspects of private funds that need to be reviewed and address how technology can be utilized to analyze data and manage testing.

3:45-4:00

Networking Break

4:00-5:00

BREAKOUT (1 of 3)
Special Compliance Considerations for ETFs from Registration to Ongoing Monitoring
Content Track: RICs
Introduction – What Are ETFs
ETFs are popular investment vehicles for retail and institutional clients as well as private investment funds. Understanding how ETFs differ from mutual funds is essential to developing and administering an effective compliance program. This panel will:
• review the registration process and status of the SEC’s initiative to streamline the process
• discuss ongoing monitoring of ETF exemptive relief
• examine other differences from RIC policies

BREAKOUT (2 of 3)
Ethics Case Studies
Content Track: Ethics
Interactive discussion analyzing various case studies. Work through real-life professional dilemmas to understand the ethical implications of actions.

BREAKOUT (3 of 3)
The Threat is Real-Understanding Your Cyber Testing Reports
Content Track: Cybersecurity
Reviewing your penetration testing and vulnerability scanning reports – common findings and vulnerabilities in plain English.

5:00-6:00

ACM Workshop
Attend this bonus demonstration to learn how the Ascendant Team is transforming compliance into intelligent, systematic and repeatable processes. Ascendant’s Product Managers will demonstrate ACM Core’s work flow processes, TradeSentry’s post-trade compliance analytics system, and ACM Code of Ethics’ personal securities transaction and conflicts of interest reporting features.

 

6:30-10:00

Reception/Dinner
Past attendees consistently cite Ascendant’s conference dinners as an ideal time to network in a relaxed yet festive environment. Enjoy the sweeping harbor views of the San Diego Bay on the beautiful Marina Terrace. Take in the dramatic coastal sunset as you dine, socialize with colleagues and make new friends. It’s sure to be a winning experience!

 

7:30-8:30

Breakfast

7:45-8:30

CHAT ROOM (1 of 3)
Strategies for Conducting a Thorough 38a-1 Annual Review
Content Track: RICs
All Fund CCOs know that it can be challenging to conduct a thorough Rule 38a-1 annual review of registered investment companies. Rule 38a-1 requires that a CCO evaluate not only a fund’s compliance program but those of its service providers. Join your peers to discuss practical approaches to the annual review and reporting. Take away some new approaches to conducting the review and testing and addressing board expectations.

CHAT ROOM (2 of 3)
The SEC’s Focus on Protecting Retail Investors
Content Track: Retail Wealth Management
There has been a noticeable shift in the regulators’ attention to that of the retail investor. From the proposed Standards of Conduct Rule to certain states enacting regulations to protect senior clients, the common investor is receiving a multitude of protections. Learn how this focus on Retail Clients impacts your compliance program.

CHAT ROOM (3 of 3)
Private Funds Roundtable
Content Track: Private Funds
You have questions? We have answers. Learn how you counterparts are addressing developing issues facing private funds. Join us for an interactive, free-form discussion of key issues, with conversation to include the impact of GDPR, the new Cayman Islands AML regulations, MiFID II’s impact on soft dollars, SEC exam findings and more.

8:30-8:35

Meet the Compliance Solution Providers

8:45-9:45

SPECIAL PRESENTATION
The Next Frontier
Content Track: Hot Topics
Our world is experiencing a tsunami of digital disruption – shaking the very foundations of established institutions, industries and service-based businesses. A recurring theme affecting each is the shifting role and ultimate value of experts and intermediaries in this technology-driven, highly networked ecosystem. Join First Clearing Managing Director & Chief Client Growth Officer Bill Coppel on a discovery journey where he will break down and analyze the forces at work in our culture and business. And along the way, he will unlock the challenges to revel the opportunities that redefine what it means to provide advice in the 21st century. It is time to change the conversation!

9:45-9:50

Five-Minute Stretch

9:50-10:45

GENERAL SESSION
State of the Data Breach
Content Track: Cybersecurity
Investment advisers have access to a lot of sensitive data about their clients, storing it on firm networks, laptops, and mobile devices. When that data is lost, stolen, or ends up in the wrong hands, determining whether a breach has occurred is a difficult task. As of Summer 2018, all 50 states now have data breach laws on the books, and international regulations including the GDPR data privacy law in the EU set forth strict requirements for privacy and breach disclosure. This session will discuss the various differences in breach notification statutes – what has changed, what is new, and how can you prepare in advance to deal with the operational challenges of these data privacy requirements and timeframes.

10:45-11:00

Networking Break

11:00-12:00

BREAKOUT (1 of 3)
Mining Advisory Business Operations for Custody Evaluations
Content Track: Hot Topics
In 2017 the SEC issued no action letters and FAQs taking the industry deeper into an analysis of whether various business operations result in custody. Since the adoption of the Custody Rule in 2010 and the implementation of surprise exams, new and old processes involving client accounts and relationships have emerged, often times inadvertently. Learn the compliance secrets to identifying business processes from SLOAs, check handling on apps, first-party transfers, and other relationships.
Analysis by industry experts.
• Evaluate business operations against custody
• Client and Custodial Agreements
• 1st and 3rd Party Disbursements
• It’s a surprise “exam,” not an audit!

BREAKOUT (2 of 3)
PRIIPS and Other European Topics
Content Track: Compliance Program
Lessons learned from inplementing PRIIPs Value – has PRIIPs served the investor well? Will PRIIPs be reformed & what may change.

BREAKOUT (3 of 3)
Managing Information Flow in the Private Fund Space
Content Track: Private Funds
Private fund investing involves a myriad of relationships. Consequently, it also involves managing a tremendous amount of information and the nexus of the information. This session will discuss: material, non-public information and the ways in which funds can gain access to it; managing expert and political intelligence networks; operating partners and consultant relationships and potential conflicts of interest; and monitoring fund investments and trading.

12:00-1:00

GENERAL SESSION
It Takes a Village – Preparing for a Regulatory Exam
Content Track: Compliance Program
Being prepared for an SEC examination begins with understanding the process and knowing what the regulators expect. The SEC National Exam Program issues examination priorities annually, which help compliance professionals to understand the regulators’ areas of focus. However, exam preparation goes beyond knowing the questions that will be asked; it includes gathering information and presenting it in an understandable format. The panel will address:
• The 2018 SEC NEP Priorities
• Organizing your firm for an exam
• Document requests, production and data management
• Preparation challenges and pitfalls

1:00

End of Conference

Conference Speakers

Listed below are the industry professionals who have been invited to speak at the conference. The individuals on this list are subject to last-minute change.

Asher Ailey

Chief Compliance Officer & Assistant General Counsel

Research Affiliates

Adan Araujo

Chief Compliance Officer

Jasper Ridge Partners

Steven Beauregard

Blockchain Executive, International FinTech Speaker, Disruptor & Strategist

Bloq, Inc.

Bryan M. Bennett

Associate Regional Director - Examinations

U.S. Securities & Exchange Commission

Robert Boeche

Senior Associate

Jacko Law Group, PC

Ronan Brennan

Chief Product Officer

Compliance Solutions Strategies

Justin Browder

Associate

Willkie Farr & Gallagher LLP

Matt J. Calabro

Director of Institutional Wealth Manager Services

Ascendant

Eva Carman

Partner

Ropes & Gray LLP

David Carson

VP Director of Client Strategies; President, Ultimus Managers Trust and Unified Series Trust

Ultimus Fund Solutions, LLC

Robert Conca
, Esq

Partner

Jacko Law Group

William Coppel

Chief Client Growth Officer

First Clearing

Martin R. Dean

Director of Fund Solutions

Ultimus Fund Solutions, LLC

Brian DeDonato
, CAIA

Product Manager, TradeSentry

Ascendant

Anthony Drenzek

Special Regulatory Counsel

Proskauer

Peter Driscoll

Director, Office of Compliance Inspections and Examinations (OCIE)

U.S. Securities and Exchange Commission

Meb Faber

Chief Investment Officer

Cambria Investment Management

Allison Fraser
, CFE

Director of RIC Services

Ascendant

Gidget Furness

Chief Compliance Officer

Moss Adams

Genna Garver

Of Counsel, Chair - Investment Management Group

Dorsey & Whitney LLP

John J. Gentile

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

Ascendant

Heather Hallack

Global Sales Engineer

Compliance Solutions Strategies

Jacqueline Hallihan

Executive Director

Ascendant

Sidney Hardee

Managing Partner

Hardee Brothers

Kevin T. Hardy

Partner

Skadden, Arps, Slate, Meagher & Flom LLP

Andrew Hartnett

Officer

Greensfelder, Hemker & Gale, P.C

Dan Haynes

Senior Consultant

Ascendant

Robert Hille

General Counsel and Chief Compliance Officer

Laird Norton Wealth Management

Jane Jarcho

Former Deputy Director

U.S. Securities & Exchange Commission

Amy Jones
, CIPM

Principal

Guardian Performance Solutions LLC

Korrine Kohm
, CFE

Director of Retail Wealth Manager Services

Ascendant

Paul Kovarsky
, CFA

Director, Institutional Relationships

CFA Institute

Sanjay Lamba

Assistant General Counsel

Investment Adviser Association

Cynthia Larose
, CIPP/Member

Chair, Privacy and Data Security Practices

Mintz, Levin, Cohn, Ferris Glovsky and Popeo, P.C.

Christine Lombardo

Associate

Morgan Lewis & Bockius LLP

Keith Marks

Executive Director, General Counsel

Ascendant

Richard Marshall

Partner

Katten Muchin Rosenman

Diana McCarthy

Partner

Drinker Biddle & Reath LLP

Stephanie Monaco

Partner

Mayer Brown

John "Jack" O’Brien

Partner

Morgan Lewis & Bockius LLP

Arin Stancil
, CFA, CIPM

Managing Director, Principal

Guardian Performance Solutions LLC

Michael Suppappola

Partner

Proskauer

Jeanette Turner

Chief Regulatory Officer

Compliance Solutions Strategies

Martin Voelk

VP, Security Services

GigIT Inc.

Eugenie Warner

Senior Consultant, Content Expert, Associate General Counsel

Ascendant

Jeffrey Welgan

Executive Director and Head of Executive Training Programs

CyberVista

E.J. Yerzak
, CISA, CISM, CRISC

Director of Cyber IT Services

Ascendant

Dianna Zentner

Senior Consultant

Ascendant

Asher Ailey

Chief Compliance Officer & Assistant General Counsel

Research Affiliates

Steven Beauregard

Blockchain Executive, International FinTech Speaker, Disruptor & Strategist

Bloq, Inc.

Robert Boeche

Senior Associate

Jacko Law Group, PC

Ronan Brennan

Chief Product Officer

Compliance Solutions Strategies

Matt J. Calabro

Director of Institutional Wealth Manager Services

Ascendant Compliance Management

David Carson

VP Director of Client Strategies; President, Ultimus Managers Trust and Unified Series Trust

Ultimus Fund Solutions, LLC

Robert Conca
, Esq

Partner

Jacko Law Group

Martin R. Dean

Director of Fund Solutions

Ultimus Fund Solutions, LLC

Anthony Drenzek

Special Regulatory Counsel

Proskauer

Meb Faber

Chief Investment Officer

Cambria Investment Management

Gidget Furness

Chief Compliance Officer

Moss Adams

John J. Gentile

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

Ascendant Compliance Management

Jacqueline Hallihan

Executive Director

Ascendant Compliance Management

Kevin T. Hardy

Partner

Skadden, Arps, Slate, Meagher & Flom LLP

Dan Haynes

Senior Consultant

Ascendant Compliance Management

Jane Jarcho

Former Deputy Director

U.S. Securities & Exchange Commission

Korrine Kohm
, CFE

Director of Retail Wealth Manager Services

Ascendant Compliance Management

Sanjay Lamba

Assistant General Counsel

Investment Adviser Association

Christine Lombardo

Associate

Morgan Lewis & Bockius LLP

Richard Marshall

Partner

Katten Muchin Rosenman

Stephanie Monaco

Partner

Mayer Brown

Arin Stancil
, CFA, CIPM

Managing Director, Principal

Guardian Performance Solutions LLC

Jeanette Turner

Chief Regulatory Officer

Compliance Solutions Strategies

Jeffrey Welgan

Executive Director and Head of Executive Training Programs

CyberVista

Dianna Zentner

Senior Consultant

Ascendant Compliance Management

Adan Araujo

Chief Compliance Officer

Jasper Ridge Partners

Bryan M. Bennett

Associate Regional Director - Examinations

U.S. Securities & Exchange Commission

Justin Browder

Associate

Willkie Farr & Gallagher LLP

Eva Carman

Partner

Ropes & Gray LLP

William Coppel

Chief Client Growth Officer

First Clearing

Brian DeDonato
, CAIA

Product Manager, TradeSentry

Ascendant Compliance Management

Peter Driscoll

Director, Office of Compliance Inspections and Examinations (OCIE)

U.S. Securities and Exchange Commission

Allison Fraser
, CFE

Director of RIC Services

Ascendant Compliance Management

Genna Garver

Of Counsel, Chair - Investment Management Group

Dorsey & Whitney LLP

Heather Hallack

Global Sales Engineer

Compliance Solutions Strategies

Sidney Hardee

Managing Partner

Hardee Brothers

Andrew Hartnett

Officer

Greensfelder, Hemker & Gale, P.C

Robert Hille

General Counsel and Chief Compliance Officer

Laird Norton Wealth Management

Amy Jones
, CIPM

Principal

Guardian Performance Solutions LLC

Paul Kovarsky
, CFA

Director, Institutional Relationships

CFA Institute

Cynthia Larose
, CIPP/Member

Chair, Privacy and Data Security Practices

Mintz, Levin, Cohn, Ferris Glovsky and Popeo, P.C.

Keith Marks

Executive Director, General Counsel

Ascendant Compliance Management

Diana McCarthy

Partner

Drinker Biddle & Reath LLP

John "Jack" O’Brien

Partner

Morgan Lewis & Bockius LLP

Michael Suppappola

Partner

Proskauer

Martin Voelk

VP, Security Services

GigIT Inc.

Eugenie Warner

Senior Consultant, Content Expert, Associate General Counsel

Ascendant Compliance Management

E.J. Yerzak
, CISA, CISM, CRISC

Director of Cyber IT Services

Ascendant Compliance Management

Loews Coronado Bay Resort

4000 Coronado Bay Road
Coronado, CA 92118
Website: https://www.loewshotels.com/coronado-bay-resort

Hotel Reservations

Ascendant has reserved a block of hotel rooms at the Loews Coronado Bay Resort for the nights of Sunday, September 30 – Wednesday, October 3, 2018. Click here for Room Reservations or call 800-235-6397 and reference the Ascendant Conference room block. The room rate of $229.00/night single or double is offered three days before and three days after the conference based upon availability.

Check In: 4pm | Check Out: 12pm

Group Rate Cut-Off: Tuesday, August 28, 2018 – Make your reservations early.

Recommended Airport

San Diego International Airport (SAN). Located 13.4 miles/28 min from the Loews Coronado Bay Resort.

Ground Transportation

Ubers and Taxis fare from SAN to the hotel is approximately $40-$50 each way. The hotel does not offer a shuttle, but the concierge is always happy to assist with transportation inquiries. To make arrangements, please contact the concierge at 619-424-4000

Hotel Map

Local Attractions

Things To Do Near Loews Coronado Bay Resort

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Conference Registration

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