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

Evolution of Fiduciary Rules Begins to Take Shape in SEC

On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package intends to raise and clarify standards of conduct for broker-dealers and investment advisers, and to provide clarity regarding fees, conflicts and other material matters. It also aims to ensure that the standards can be understood … Continued

Insurance Considerations for Investment Advisers

How much coverage is enough? What types of insurance policies do you need? Whether you are starting an investment advisory practice, launching a new line of business, or reevaluating your existing risks, there are critical questions to ask to make sure you understand the various ways to protect your firm. Join us for a practical … Continued

Fifth Circuit Weighs In on DOL Fiduciary Rule

A panel of the U.S. Court of Appeals for the Fifth Circuit has vacated the Department of Labor’s Fiduciary Rule. In a 2-1 split, the Fifth Circuit’s decision overrules a Dallas District Court’s decision, which had previously upheld the rule. Unfortunately, the decision does little to settle the fate of the beleaguered rule. Although it … 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.