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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If you attended Ascendant’s 2016 San Diego conference,  you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff is a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. In San Diego, he spoke about turning challenges into triumphs, and about succeeding in the face of … Continued

Relief at Last – New Guidance on Inadvertent Custody

The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs. In Question II.11 and II.12, the SEC stated that it would not recommend enforcement against an adviser that does not have a copy of a client’s custodial agreement, and does not know or have reason … 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.