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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If you attended Ascendant’s 2016 San Diego conference,  you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff is a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. In San Diego, he spoke about turning challenges into triumphs, and about succeeding in the face of … Continued

Relief at Last – New Guidance on Inadvertent Custody

The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs. In Question II.11 and II.12, the SEC stated that it would not recommend enforcement against an adviser that does not have a copy of a client’s custodial agreement, and does not know or have reason … 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.