Continuing Education

Ascendant conferences offer invigorating learning environments, insightful speakers and tangible takeaways that can be quickly and meaningfully put into action.

Continuing Education Credits are available at all Ascendant conferences for IACCP, CPE and MCLE. To request credits, you are required to log into the ACM Conference Portal to complete a User Profile. While at the conference, in accordance with CE rules and regulations, you will need to complete all relevant evaluations found in the portal.

Continuing Professional Education (CPE) Sponsor

Ascendant Compliance Management is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE sponsors. To obtain this designation and to meet the established standards of CPE, Ascendant has committed to offering educational programs through cutting-edge content and delivery platforms.

To receive a CPE certificate of attendance, you must complete all relevant evaluation forms found in the ACM Conference Portal.

Minimum Continuing Legal Education (MCLE) Approved Provider State Bar of California – Provider #14572
States have widely varying regulations regarding Continuing Legal Education (CLE) credit. Please check here for CLE availability and rules in your state(s).

Before allowing providers to issue MCLE credits, the California State Bar evaluates the programs providers plan to present to practicing attorneys to ensure they relate to legal subjects relevant to attorneys, have presenters with significant professional experience related to the subject matter, and are aimed at an audience of state bar attorneys. As an Approved Provider of MCLE by the State Bar of California Committee on Continuing Legal Education, Ascendant continually audits these requirements to ensure compliance.

To receive a CLE certificate of attendance for an individual submission for CLE credits, you are required to complete all relevant evaluation forms found in the ACM Conference Portal.

Investment Adviser Certified Compliance Professional (IACCP®)
Ascendant is an approved provider of continuing education programs for the Investment Adviser Certified Compliance Professional® (IACCP®) designation. The IACCP program is designed to foster competency and increase credibility for compliance professionals. IACCP continuing education credits are offered for all Ascendant educational activities that address investment advisory compliance or professional ethics.

To receive an IACCP certificate of attendance you are required to complete all relevant evaluation forms found in the ACM Conference Portal.

Certified Financial Planner (CFP®)
Ascendant is able to provide a certificate of completion and a timed agenda to conference attendees for the Certified Financial Planner (CFP®) designation. Attendees will be responsible for filing for credit with the CFP board, along with paying any fees associated with the filing.

Miami Conference Credits
Main Conference: 12.25 60-min Credit Hours
Miami Pre-Conference: 2.25 60-min Credit Hours

Latest Content

Custody Concerns Continue

You timely filed your Form ADV within 90 days of fiscal year end, but did you properly answer all the questions related to custody? Not surprisingly, the Form remains confusing for many advisers, as does application of the Custody Rule itself. The SEC has issued guidance, letters to the industry, alerts and FAQs, but things … Continued

Blockchain Isn’t Hot Sauce

Guest post by Samson Williams, Partner – Axes & Eggs and Keynote Speaker – Ascendant CSS Spring 2019 Conference  I started telling people that blockchain isn’t hot sauce in mid-2017 to help explain why initial coin offerings (ICOs) were just the latest form of unregulated, online gambling. In November 2017, with Bitcoin nearing a high … Continued

The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators

This ComplianceCast will discuss how firms can mitigate risk by having effective disclosure in their Form ADV Brochure. Our panelists will be CSS Ascendant Senior Consultant Ariana Monchick and Jessica Matelis, Partner at Foley & Lardner and former Senior Counsel at the SEC Division of Enforcement. They will discuss: Required disclosures The types of conflicts … Continued

Regulation Best Interest, Cybersecurity Top Concerns at IAA 2019 Compliance Conference

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance Conference 2019 was a forum for the discussion of future potential rulemaking. Cybersecurity and Fiduciary Rule considerations were headline topics, with custody and marketing right behind. The following is a summary of key issues discussed … Continued

Mailing List

Subscribe to the Ascendant Compliance email list for the latest compliance resources, conferences, ComplianceCasts™, and more.

Loading form...

Contact Us

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.