“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 from cybersecurity risk management to behavioral ethics.
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- New Form ADV: What you need to know to file your Annual Updating Amendment
- Due Diligence of Sub-Advisers and Other Third-Parties
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
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