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.

Contact Us

Latest Content

Custody Concerns Continue

You timely filed your Form ADV within 90 days of fiscal year end, but did you properly answer all the questions related to custody? Not surprisingly, the Form remains confusing for many advisers, as does application of the Custody Rule itself. The SEC has issued guidance, letters to the industry, alerts and FAQs, but things … Continued

Blockchain Isn’t Hot Sauce

Guest post by Samson Williams, Partner – Axes & Eggs and Keynote Speaker – Ascendant CSS Spring 2019 Conference  I started telling people that blockchain isn’t hot sauce in mid-2017 to help explain why initial coin offerings (ICOs) were just the latest form of unregulated, online gambling. In November 2017, with Bitcoin nearing a high … Continued

The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators

This ComplianceCast will discuss how firms can mitigate risk by having effective disclosure in their Form ADV Brochure. Our panelists will be CSS Ascendant Senior Consultant Ariana Monchick and Jessica Matelis, Partner at Foley & Lardner and former Senior Counsel at the SEC Division of Enforcement. They will discuss: Required disclosures The types of conflicts … Continued

Regulation Best Interest, Cybersecurity Top Concerns at IAA 2019 Compliance Conference

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance Conference 2019 was a forum for the discussion of future potential rulemaking. Cybersecurity and Fiduciary Rule considerations were headline topics, with custody and marketing right behind. The following is a summary of key issues discussed … Continued

The Challenges of Building a Global Compliance Program

Compliance programs face challenges in balancing global requirements with local exceptions while incorporating the fast pace of regulatory change, addressing critical business needs and obtaining the necessary resources necessary to manage the program. Trends and thinking on the subject were center stage at the recent CSS London event “Looking at the Year Ahead – Global … Continued

Mailing List

Subscribe to the Ascendant Compliance email list for the latest compliance resources, conferences, ComplianceCasts™, and more.

Loading form...

Contact Us

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.