Monday, April 3 - Wednesday, April 5, 2017  
The Ritz-Carlton Golf Resort, Naples

Revolutionizing Compliance: The Matrix of Regulation, Operations & Technology

Pillars of a Progressive Compliance Program

Good compliance teams focus on the present. Great ones look into the future, working to anticipate shifting rules and regulations as well as the corresponding responsibilities. Regulation of advisers has changed and expanded greatly in just the last few years, and promises to evolve further. Past approaches are no longer the most practical or economical. As a result, it’s time to revolutionize compliance processes. The goal of our conference is to empower you with dynamic strategies to affect necessary changes or improvements within your organization.

Conference panelists and keynote speakers are on the front lines of compliance, promising some of the most forward-thinking approaches to both current and developing issues that affect large advisers, small advisers and private fund advisers. You’ll hear from and interact with past and present SEC staff, current CCOs, seasoned securities attorneys, cybersecurity experts, Ascendant consultants and more.

Focus will be on topics both broad and narrow, allowing you to tailor a track to fit your specific needs.

  • New SEC Priorities
  • Business Continuity and Transition Planning
  • The DOL Fiduciary Rule
  • AML & Patriot Act Compliance
  • Due Diligence of Third-Party Vendors
  • Diminished Capacity
  • Cybersecurity Risks
  • Custody Issues
  • RegTech Solutions and Benefits
  • Depths of the SEC Exam Process
  • The Most Recent Rule-Making Impacting Advisers

Ascendant’s conference, to be held on April 3-5, 2017 at the Ritz-Carlton Resort in Naples, Florida, is dedicated to providing a cutting-edge experience, with progressive solutions and takeaways for attendees to bring back to their firms.

Change is coming, from the new presidential administration, the SEC and other major regulators. If you’re ready to revolutionize your compliance approach to meet that change, join us.


Questions? Call us at 860-435-2255, email us, or get in touch via our contact page.