Investment Advisers

We provide a suite of services and solutions designed to help you meet your compliance obligations, through a team that has includes former chief compliance officers, SEC regulators, lawyers, MBAs and members with many years of operational experience. We understand life from both sides of the desk.

Compliance

We work closely with you to design a program – as simple or as complex as your specific compliance needs require – drawing from the following services:

  • Prepare, amend, or renew your federal and state regulatory documents
  • Prepare and conduct annual reviews
  • Develop model code of ethics and insider trading policies
  • Review your website, advertising, and marketing materials
  • Review contracts
  • Review business practices
  • Custody assessment services
  • Develop and offer updates to supervisory procedures
  • Perform a compliance audit
  • Perform a due diligence review
  • Act as your IARD account representative
  • Form ADV reviews and revisions
  • Mock SEC exam services
Continuing Education + Training

We provide compliance training through webcasts or on-site delivery on a variety of current regulatory focus topics for continuing education.

We offer both standard and customized compliance training programs on all aspects of regulation and compliance. The modular structure of our program means that we can offer training to suit your specific needs, working with you to make compliance a source of strength.

SEC Registration

We can help you navigate every step of the sometimes-complex processes with the SEC and applicable state regulatory bodies. Ascendant can provide the following:

  • Registration with the SEC and states as applicable
  • Preparation of Form ADV
  • Registration of principals, officers and advisory reps as needed
  • Sample advisory contracts
  • Drafting of customized Code of Ethics
  • Insider trading policy
  • Drafting of policies and procedures manual

Ascendant will help develop a compliance program for your firm, providing you with a process and a culture of compliance to satisfy regulators.

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

How Do You Supervise for SEC Pay-to-Play Violations?

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?

Somewhat more reminiscent of the broken-windows enforcement era, two affiliated private equity advisers managing billions settled with the SEC on charges that they failed to make pre-commitment disclosures in fund governing documents related to accelerated fees received from portfolio companies. Interestingly, according to the Settlement Order, the advisers had made some disclosures in fund documents … Continued

With New Risk Alert, SEC Doubles Down on Best Execution

On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by investment advisers. Advisers have an obligation to seek best execution of client transactions, taking into consideration quantitative factors such as execution quality and commission rate, as well as more qualitative factors such as the value … Continued

The Cost of Compliance: Understanding and Leveraging Resources

For compliance officers, obtaining the necessary tools and resources to build an effective compliance program can be costly and difficult to implement. How do you distinguish the best in class, the most cost-efficient and effective for use in your program? In this ComplianceCast, speakers David Porteous of Faegre Baker Daniels and Korrine Kohm of Ascendant … 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.