Ascendant Compliance Resources
Print Articles & Whitepapers
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.
- Investment Advisor Registration Depository
- Global Relay
- Securities and Exchange Commission
- Financial Industry Regulatory Authority
- Starkweather & Shepley Insurance
- Financial Tracking
- National Finance Adjusters
- New York Stock Exchange
- Municipal Securities Rulemaking Board
- North American Securities Administration Association
- National Society of Compliance Professionals
- Securities Industry and Financial Markets Association
- U.S. Commodity Futures Trading Commission
- Federal Trade Commission
- Financial Crimes Intelligence Center
- NEBDIAA (New England Broker Dealer Investment Adviser Association)