Hedge/PE Funds

Ascendant is retained by hundreds of asset managers and broker-dealers in the U.S. and the U.K., including public companies and some of the world’s largest institutional asset managers, broker-dealers, investment consultants, wealth managers, and private equity and hedge fund managers.

Consulting

We offer a broad service program for hedge funds, which can draw from the following services:

  • Consulting
  • Registration as an adviser
  • Regulatory reviews
  • Policies and procedures
  • Code of Ethics
  • Insider trading policies
  • Risk Assessments
  • Anti-money laundering consulting/training
  • Privacy policy
  • Due diligence services
  • Training and education
  • Business review
  • Website, marketing, and advertising review
Offshore Financial Services

Our capabilities include consultation regarding SEC and FINRA requirements with foreign broker-dealers, advisers, and hedge funds, including their establishment of US offices or dealings with persons in the US. Ascendant can provide the following:

  • Registration services for entities and principals/officers
  • Supervisory policies and procedures development
  • Internal control and risk assessment reviews
  • Business development planning
  • SEC/NASD books and records guidance

We are able to assist firms with regards to the U.S. securities regulatory implications for firms that have foreign offices, including their dealings with persons abroad.

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 wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it, three recent Settlement Orders against large investment advisers for “over de minimis” political contributions provide some insight regarding one of the prohibitions: Contributions by Covered Associates to certain Government Officials over the specified Exception amount (capitalized words are terms in the … Continued

Do your Fund Documents Clearly Disclose Receipt of Accelerated Monitoring Fees?

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The Cost of Compliance: Understanding and Leveraging Resources

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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.