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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- 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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