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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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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