The SEC is proposing a new rule that would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans in order to legally operate under SEC jurisdiction. If adopted, the rule would have significant impact on … Listen now
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Our knowledgeable compliance consultants break down recent securities regulations and emerging trends, explain the latest SEC enforcement actions and how they may affect you, and provide compliance tips to enhance your policies and procedures.
The SEC recently held an outreach panel to discuss the various hot topics in compliance surrounding IA’s. Some of the topics discussed: CCO Liability, Cybersecurity, AML, tips and tricks to prepare for regulatory examinations and more. Here to elaborate on … Listen now
In this ComplianceCasts™ Minute Jackie Hallihan and Adam DiPaolo discuss forensic testing. The SEC’s ongoing effort to uncover trends using data analytics means that firms need to know what their data says about them. It’s not just about analyzing data. … Listen now
On August 25th, the Treasury Department’s Financial Crimes Enforcement Network (FinCen) proposed minimum standards for anti-money laundering programs of SEC registered investment advisers. Suspicious transaction reports are also among new requirements proposed for SEC registered firms.
In this ComplianceCasts Minute we focus on SEC guidelines for conducting annual reviews. With SEC regulation changing and expanding, knowing what to include in your annual review can be confusing at best. Ascendant’s Korrine Kohm discusses what areas to focus … Listen now
In this ComplianceCasts Minute, we discuss the growing concerns of social engineering. What is social engineering? This non-technical method of hacking forms one of the weakest links in a firm’s security because it relies solely on human interaction. Even with … Listen now
In this ComplianceCasts™ Minute, Gena Dirani discusses the new SEC rule proposal that could have a major impact on what information is required to be reported to the SEC. These rule changes would require Mutual Funds and other Asset Managers … Listen now
“Compliance As Gatekeepers: NextGen Skills for Effective Compliance Management” was the aptly titled conference hosted in Naples Florida. Ascendant brought in a variety of speakers that educated attendees on the complex compliance environment that firms face every day. Topics ranged … Listen now
Ascendant Compliance consultants Eugenie Warner and Jackie Hallihan give us insight on recent speeches from SEC Chair Mary Jo White. Topics covered include; new initiatives for improved methods of regulating the asset management industry, recent updates on new SEC mandates, … Listen now
In this ComplianceCasts Minute, Ascendant consultants Jackie Hallihan and Eugenie Warner discuss the results of the SEC’s Cybersecurity Sweep Exam. Covering how firms identify cybersecurity risks, establish cybersecurity policies, procedures and oversight processes and more, the cybersecurity sweep is just … Listen now