Compliance 20/20: Insights Into Innovative Compliance Programs

$1995

Charleston, South Carolina

With laser-focused regulators, rapidly evolving technologies and the relentless demands of everyday business, the responsibilities of compliance professionals continue to expand. It’s all too easy to focus on one area of risk or a “hot topic” at the expense of others, leading many to wonder how to keep the entire compliance program in perspective.

Compliance 20/20 will spotlight the elements of a strong compliance program, offering attendees a clear understanding of the spectrum of issues your compliance program should address. You’ll hear from a distinguished panel of speakers including regulators, CCOs, in-house and outside counsel, service providers and other industry experts; and leave with a clear vision of regulatory expectations, your responsibilities, and the resources necessary for today, tomorrow and beyond.

Enter discount code earlybird in cart to save $200 today!

Cancellations
Registration cancellations received more than one month before the conference will receive a full refund of any registration fee paid, minus an administration charge of $150. Within one month of the conference, there will be no refunds given, but upon receipt of a written explanation of the cancellation, the registration fee paid will be credited towards a future Ascendant conference or service, valid for one year. Substitutions of delegates can be made at any time before the conference. For more information regarding refund, complaints, and/ or program cancellation policies, please contact our offices at 1-860-435-2255.

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Latest Content

OCIE Examined 15% of RIAs in 2017

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed in its Fiscal Year 2019 Congressional Budget Justification Annual Performance Plan. In the same report, the SEC said the staff will continue to improve its efforts of RIAs, noting that nearly 35 percent of all … Continued

Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls

A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge fund managers when using hypothetical performance or model data in marketing efforts, and how managers relying on such data can avoid enforcement actions. Adam DiPaolo, Senior Consultant in Ascendant’s Private Funds group, is quoted in the … Continued

SEC’s Exam Priorities Offer Insight Into National Exam Program

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s summary here). In addition to defining their examination priorities for the year, the OCIE staff offered some insight into the National Exam Program.  Specifically, they defined the following five principles in executing their exam priorities: … Continued

SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules

SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and hold themselves to high standards. Speaking via videoconference during Securities Regulation Institute’s recent annual conference, he said, “To be blunt, from what I have seen recently, particularly in the initial coin offering (“ICO”) space, they … 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.