Overview

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.

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Latest Content

DOL Fiduciary Rule Transition Period Extension to 2019 Requested

The Secretary of Labor, Alexander Acosta, made a court filing on August 9 requesting the Transition Period and Delay of Applicability for the Department of Labor Fiduciary Rule be extended from January 1, 2018 to July 1, 2019. This court filing included extending the deadlines for the following Prohibited Contract Exemptions: Best Interest Contract Exemption … Continued

SEC Cyber Sweep Highlights Areas In Need of Improvement

The results of the SEC’s second cybersecurity sweep examinations are in, and they paint a picture of an industry that has come to grips with the need to address cybersecurity risk, but where the canvas is incomplete in many respects.

Colorado Joins New York in Mandating Cybersecurity Controls for Financial Institutions

On the heels of the recently adopted New York State Department of Financial Services Cybersecurity Regulation (23 NYCRR 500), Colorado has followed suit with its own set of protections. The Colorado Division of Securities has issued cybersecurity regulations applicable to broker dealers and investment advisers registered with the state, which are codified in Sections 51-4.8 … Continued

Form ADV: What You Need to Know Now to Prepare for October

October 2017 new Form ADV amendments continue the big data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden of answering over 100 separate questions (plus scores more for each private fund) through this … Continued

Electronic Messaging Exams: Looking Beyond Emails

The SEC is conducting “electronic messaging” examinations -- mainly in the New York region -- which include all forms of written communications related to an Adviser's business.

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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.