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
  • 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
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.

Contact Us

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

Ethics: Building a More Ethical Workforce

How to make ethics part of your Firm’s Compliance Culture Where does the requirement to act ethically come from? Dealing with Ethical Dilemmas 2016 SEC Enforcement Cases that pertain to Ethics

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.