If you were unable to make Ascendant’s Spring Conference in Savannah, Georgia, or you just want a recap, this ComplianceCast™ Minute will give you a brief recap of the highlights of the conference. With a focus on big data and risk analytics, the conference provided attendees a wealth of information on where the new risks lie for investment advisory firms. Key topics also included identity theft and cybersecurity concerns, the growing use of technology by regulators, and marketing considerations for private fund managers. If you are interested in obtaining the conference materials, you can purchase the entire workbook, including a USB drive with the information, by contacting Ascendant at (860) 435-2255.
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- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
- Getting Smart about Cybersecurity
- Insurance Considerations for Investment Advisers
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