Risk-Based Examinations

We continue to take a closer look at the SEC’s shift to risk-based examinations, and consider several factors influencing examination prioritization as well as the external resources that examiners will be leveraging to gain further information about your firm.

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Recent ComplianceCasts™

Recent ComplianceCast™ Minutes

Latest Content

Past Conference Speaker Inspiration for The Rock’s Next Blockbuster

If you attended Ascendant’s 2016 San Diego conference,  you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff is a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. In San Diego, he spoke about turning challenges into triumphs, and about succeeding in the face of … Continued

Relief at Last – New Guidance on Inadvertent Custody

The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs. In Question II.11 and II.12, the SEC stated that it would not recommend enforcement against an adviser that does not have a copy of a client’s custodial agreement, and does not know or have reason … Continued

Standards of Business Conduct: Personal Trading and Beyond

One of the most important assets a firm can possess is a sterling reputation, and maintaining such a reputation involves proactive attention. While most firms address standards of business conduct in their Codes of Ethics, it’s important to periodically reassess and update them. By incorporating technology, firms can mitigate reputational risk and maximize efficiency throughout … Continued

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Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.