Ascendant hosted another really fantastic, content-filled conference in Palm Springs, California. Apply titled “Complexities of Compliance in a New Era of SEC Initiatives,” the conference broke down the complex compliance environment that presently exists and provided compliance professionals the guidance needed on how to deal with the ever changing regulatory landscape. Listen to this podcast to hear the highlights of the conference, including what an U.S. astronaut has to do with investment advisers’ compliance programs.
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- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
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