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

Coming to America – California Adopts GDPR-Like Privacy Regulation

After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s General Data Protection Regulation (GDPR), advisers to U.S. clients will soon be facing similar requirements on the home front.  On the heels of the Cambridge Analytica scandal, California enacted the California Consumer Privacy Act of … Continued

SEC and FINRA 2019 Examination Priorities

The SEC and FINRA have recently released their examination priorities for 2019. These releases provide insight into regulatory priorities and serve as guidance for a firm in evaluating its compliance program. We will discuss topics covered in these releases, including: Protecting retail investors Fees and expenses Disclosure Conflicts of interest Suitability Protecting senior investors Trading … Continued

SEC Reopened After 35-Day Government Shutdown

SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission has resumed normal staffing levels and is returning to normal operations.” In total, about 94% of the commission’s approximately 4,400 employees had been furloughed during the 35-day shutdown, according to its operations plan. In a … Continued

FINRA Rolls Out New Central Registration Depository Functionality; Annual Verification Deadline Nears

FINRA first introduced enhancements to the Central Registration Depository (“CRD”) on October 1, 2018, which were rolled out in support of FINRA’s restructured qualification examination program as well as the adoption of consolidated FINRA registration rules. The new enhancements were intended to also more easily assist member firms with satisfying their reporting and compliance obligations. … 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.