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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- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
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