Broker-Dealers

We provide a range of services and solutions designed to help you meet your compliance obligations, through a team that has includes former chief compliance officers, FINRA and SEC regulators, lawyers, MBAs and members with many years of operational experience. We understand life from both sides of the desk.

FINRA/SEC Registration

We will guide you through the complex process to register your firm with FINRA, the SEC, and applicable state regulatory bodies.

Compliance

Ascendant’s consultants provide professional, tailored services to broker-dealers. Firms may choose from services including but not limited to the following:

  • Supervisory control reviews (i.e., NASD Rule 3012 and FINRA Rule 3130 “testing” and reviews)
  • Broker-dealer compliance risk assessment/ internal control reviews
  • Business continuity planning
  • Compliance and operational gap analysis and integration of procedures; remediation
  • Branch office audits
  • Anti-money laundering audit
  • Website, advertising, and marketing reviews
  • Compliance consulting and business plan development
  • Supervisory procedures and updates
  • Outsourcing (short and long-term)
  • Annual compliance meeting (live or electronic) and CE
  • Assess broker-dealer compliance risk and perform internal control reviews
  • Email surveillance
  • Conduct anti-money laundering audit
Continuing Education and Training

We provide compliance training either on site or via webcasting on a variety of current regulatory topics for continuing education.

Whatever your needs, Ascendant will work with you to make compliance a source of strength.

Please call 1-860-435-2255 for more information.

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Latest Content

Advertising Issues: SEC and GIPS Performance in the Private Fund Space

Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers.” While the alert highlighted several areas where performance advertising is involved, our recent CSS/Ascendant conference panelists in a session entitled “Best Practices for SEC and GIPS Performance in the Private Fund Space” … Continued

Placing Ethics and Compliance in the Foreground of Business Decision-Making

Thinking about how to make ethics and compliance part of a business’s decision-making can prove to be challenging. By nature, compliance professionals are often results-oriented, focusing on a binary end-result; either you are in compliance, or you are not. That focus is important, but emphasizing process is also vital, John Walsh, Partner at Eversheds Sutherland … 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.