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Ascendant ComplianceCasts Minute

Ascendant ComplianceCasts Minute takes our successful monthly ComplianceCasts program to a whole new level of efficiency. These concise online audio recordings are several minutes in length to keep you at the top of your game without running into overtime on your already busy day. Become a compliance commuter and conveniently listen to a ComplianceCasts Minute while on the road, on the train, or in the office on your mobile device, digital media player, or computer.

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.


SEC Outreach Panel Recap

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

How to Improve Your Forensic Testing

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

Is Your Annual Review Adequate?

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

Social Engineering: The Weakest Link

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

Conference Recap: Compliance As Gatekeepers

“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

A Focus on the Regulatory Horizon

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

The Cybersecurity Sweep Exam Results and What It Means for Compliance

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