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Ascendant Compliance Resources

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ComplianceCasts™
New Form ADV, Dodd-Frank Reform, Ethics, Fin-Reg, Pay to Play: We address them all in ComplianceCasts™, our web-based compliance learning tool for investment advisers, broker dealers, and hedge and private equity funds. Click here to learn more!

Conferences
Our conferences, held in prime locations around the country, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings. In-depth interaction among conference attendees facilitates peer-learning, with guidance and instruction from our panelists and experts. Continuing education credits are offered. For our latest conference offering please click here.

To purchase the workbook for our previous conference click here.

Additional Resources

Latest Content

DOL Fiduciary Rule Transition Period Extension to 2019 Requested

The Secretary of Labor, Alexander Acosta, made a court filing on August 9 requesting the Transition Period and Delay of Applicability for the Department of Labor Fiduciary Rule be extended from January 1, 2018 to July 1, 2019. This court filing included extending the deadlines for the following Prohibited Contract Exemptions: Best Interest Contract Exemption … Continued

SEC Cyber Sweep Highlights Areas In Need of Improvement

The results of the SEC’s second cybersecurity sweep examinations are in, and they paint a picture of an industry that has come to grips with the need to address cybersecurity risk, but where the canvas is incomplete in many respects.

Colorado Joins New York in Mandating Cybersecurity Controls for Financial Institutions

On the heels of the recently adopted New York State Department of Financial Services Cybersecurity Regulation (23 NYCRR 500), Colorado has followed suit with its own set of protections. The Colorado Division of Securities has issued cybersecurity regulations applicable to broker dealers and investment advisers registered with the state, which are codified in Sections 51-4.8 … Continued

Form ADV: What You Need to Know Now to Prepare for October

October 2017 new Form ADV amendments continue the big data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden of answering over 100 separate questions (plus scores more for each private fund) through this … Continued

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