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

Firms Encouraged Not to Overlook Oct. 1 Books and Records Changes

While changes to Form ADV on October 1, 2017 have been well-publicized, we encourage firms not to overlook the other changes to Books and Records requirements put forth in the SEC’s final rule release, effective October 1, 2017. The changes to the Rule relate to the retention of documents regarding the calculation of performance data. Rule … Continued

SEC Offers Regulatory Relief to Advisers Affected by Hurricanes

On September 28, 2017, the SEC provided regulatory relief to individuals and entities subject to the ’33 Act, ’34 Act and ’40 Act who were affected by Hurricanes Harvey, Irma or Maria. The relief came in the form of conditional exemptions from certain requirements. The hurricanes, which struck between August and September of 2017, devastated … Continued

SEC Discloses Cybersecurity Breach That May Have Led to Insider Trading

The determination of hackers to exploit existing cybersecurity vulnerabilities of government agencies and businesses shot to the forefront again last Wednesday, when SEC Chair Jay Clayton revealed that the commission’s EDGAR database had been hacked in 2016 through a software vulnerability in the test filing component of the system. According to Clayton, the breach was … 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.