Form ADV Toolkit

Recent Form ADV amendments continue the Big Data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden by signing up to receive access to our free Form ADV toolkit. The toolkit includes valuable content such as templates, checklists and commentary from our consulting team to make this process as painless as possible – whether you’re filing your firm’s Form ADV for the first time or the 20th.

Sign up and you’ll receive:

  • Ascendant Summary of 2017 Form ADV Changes
  • Ascendant Checklist of New Required Information in 2017
  • Ascendant Form ADV ComplianceCast and Powerpoint presentation
  • Ascendant Part 2A Template
  • Ascendant Part 2B Template
  • Ascendant Checklist to Review Part 2A
  • Ascendant Checklist to Review Part 2B
  • And more!
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SEC Alerts Investment Advisers to Review Solicitor Arrangements

On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk alerts to notify the industry of deficiencies they are finding during examinations, and this latest alert puts investment advisers with solicitor arrangements on notice to check their solicitor agreements, policies and procedures, and disclosure documents. … Continued

Pennsylvania Sounds Warning Bell Over Client Credentials and Custody

The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using client credentials to access a custodial account(s). In the letter dated September 25, 2018, PDOBS indicates that the use of client credentials may create custody and is considered to be a dishonest and unethical practice. … 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.