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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- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
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