Ascendant Compliance Resources

Summary of Rules & Rule Changes

Ascendant's most popular free resource is frequently updated and includes a summary of rules and rule changes, including filing deadlines.

Conference Workbook: Naples, Florida

Compliance as Gatekeepers NextGen Skills for Effective Compliance Management Compliance is a key guardian, protector, and advocate for our industry, playing a central role in implementing effective programs, and protecting firms and clients. Ascendant Conferences + Education provides a cutting … Read more

Model Privacy & Information Security Program

Past Due By March 1, 2010 any investment adviser or broker dealer with clients or customers residing in Massachusetts must have in place a comprehensive Privacy & Information Security Program pursuant to Massachusetts Regulation 201 CMR 17.00 et. seq. Ascendant … Read more

Conference Workbook: Data, Risk Analytics, and Surveillance

Data, Risk Analytics, and Surveillance Guidance on Social Engineerings and CyberSecurity, Marketing and Advertising, Surveillance and Technology, Ethics, SEC Speeches and more! Plus summaries and presentations from leading attorneys, accountants, CCOs and the Ascendant Team. Order your copy now for … Read more

Print Articles & Whitepapers

Press Releases


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!


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