Thanksgiving is right around the corner, and Ascendant is thankful for the incredible insights shared by an SEC panelist at our Scottsdale, AZ conference regarding the “big picture” items currently in the crosshairs of examiners – which we share with you in this podcast. Ascendant is also thankful that many of our clients are safe following the lashing from Hurricane Sandy. Many firms on the East Coast were forced into an unplanned test of their disaster recovery and business continuity plans in the wake of the storm. Did yours work as planned?
Listen to the podcast below:
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- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
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