Ascendant offers a thorough range of compliance management services that are designed to help clients meet their regulatory responsibilities while allowing them to focus on their core businesses.
Compliance requirements for investment advisers and broker-dealers have grown exponentially in recent years, and continue to evolve. We offer innovative consulting, providing in-depth services for our clients in those industries through tailored solutions based upon key factors including timeline, size and complexity. Ascendant provides these services on an annual basis in a compliance partnership structure.
In adapting our service offerings to fit your business, we consider the following factors: compliance needs and regulatory risk factors; the organizational structure, compliance staffing or support; compliance-related IT risk factors and support functions; and specific regulatory requirements.
Through our expertise in the field, Ascendant understands the many complexities and pressures of modern business. Our compliance support services can be tailored to a specific engagement or timeframe. They encompass the following areas:
- Independent Consultant for SEC Enforcement Proceedings
- SEC Registration
- Risk Assessment, Annual Reviews, and 206(4)-7 and 38a-1 Service
- Mock SEC Exam Services
- FINRA + Broker-Dealer Services
- IT Risk Assessment Services
- Trade Blotter Analysis | Trade Blotter Manager Tool – Technology Solutions
- Continuing Education and Training
- Policies and Procedures
Whatever your needs, Ascendant will work with you to make compliance a source of strength.
Please call 1-860-435-2255 for more information.