Compliance Training: The Culture of Compliance

Ascendant Compliance Management offers a range of both standard and individualized, company-specific compliance training programs on all aspects of regulation and compliance. The modular structure of our program means that we can offer training to suit your particular circumstances, working with you to make compliance a source of strength.

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 services such as risk management and a compliance overview program.

Compliance+

Ascendant Compliance Management is a leader in the compliance and regulatory services industry, with its hallmark in offering a comprehensive compliance program for US investment advisers and global asset managers. As your Compliance+ Consultants, we work closely with you to design a program – as simple or as complex as your specific compliance needs require – drawing from the following services:

  • Prepare, amend, or renew your federal and state regulatory documents
  • Prepare and conduct annual reviews
  • Develop model code of ethics and insider trading policies
  • Review your website, advertising, and marketing materials
  • Review contracts
  • Review business practices
  • Develop and offer updates to supervisory procedures
  • Perform a compliance audit
  • Perform a due diligence review
  • Act as your IARD account representative
  • Provide Compliance+ Telephone Easy Access to your consultant to answer questions

Continuing Education and Training

We provide compliance training either on-site or via webcasting on a variety of specific and current regulatory topics for continuing education. We make compliance easy for your advisory reps!

SEC+ Registration

Ascendant Consultants provide professional registration services with the Securities Exchange Commission and applicable state regulatory bodies. Ascendant can provide the following:

  • Preparation of Form ADV
  • Registration with the SEC and states as applicable
  • Registration of principals, officers, and advisory reps as needed
  • Sample advisory contracts
  • Code of Ethics
  • Insider trading policy
  • Supervisory policies and procedures manual

Ascendant Compliance Management will help develop a compliance program for your firm, providing you with a process and a culture of compliance to satisfy regulators once registrations are effective.

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