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

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

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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.