Consulting Services

Ascendant Compliance Management is a leader in the compliance and regulatory services industry, with its hallmark in offering a comprehensive compliance program for US and UK investment advisers and global asset managers. We offer a broad service program for hedge funds, which can draw from the following services:

  • Consulting
  • Registration as an adviser
  • Regulatory reviews
  • Policies and procedures
  • Code of Ethics
  • Insider trading policies
  • Anti-money laundering consulting/training
  • Privacy policy
  • Due diligence services
  • Training and education
  • Business review
  • Website, marketing, and advertising review

We provide personal attention and easy access to our consultants who will answer your questions.

Due Diligence

The increasing popularity of multi-manager and fund of fund investing has resulted in regulated firms becoming increasingly dependent on the integrity of the compliance and control infrastructures of others. Our due diligence incorporates verification services, risk management, and a compliance overview program.

Offshore Financial Services

Our capabilities include consultation regarding SEC and FINRA requirements with foreign broker-dealers, advisers, and hedge funds, including their establishment of US offices or dealings with persons in the US. Ascendant can provide the following:

  • Registration services for entities and principals/officers
  • Supervisory policies and procedures development
  • Internal control and risk assessment reviews
  • Business development planning
  • SEC/NASD books and records guidance

We are able to assist firms with regards to the US securities regulatory implications for firms that have foreign offices, including their dealings with persons abroad.

Please call 1-860-435-2255 for more information.