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

Past Conference Speaker Inspiration for The Rock’s Next Blockbuster

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

Cayman Islands Update AML Regulations for Private Equity

The Cayman Islands has further bolstered its anti-money laundering (“AML”) and countering of terrorist financing (“CTF”) rules. The new AML/CTF rules become effective on May 31, 2018 and will affect, among others, unregulated investment entities—such as private equity firms—domiciled in the Cayman Islands. The deadline to appoint AML officers, however, is September 30, 2018 for … Continued

SEC Creates Bogus ICO Site to Teach About Cryptocurrency Fraud

On May 16, 2018, the SEC’s Office of Investor Education and Advocacy launched an educational website meant to demonstrate a fraudulent initial coin offering (ICO). The website, HoweyCoins.com mimics a bogus coin offering touting a too-good-to-be-true investment opportunity. The website features several of the features common to fraudulent offerings, including promises of guaranteed returns, complex … Continued

Get ready for Form ADV, Part 3: Form CRS

Are you ready for Form ADV Part 3? As if the last annual updating amendment filing was not tedious enough with all the additional information related to separately managed accounts, the process will further evolve with the SEC’s proposal for a Form ADV Part 3, also referred to as Form CRS. But don’t worry, it … Continued

Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance

The advertisement of investment performance is a critical risk area for private investment fund managers in terms of regulatory compliance and for capital raising. Several recent SEC enforcement cases have highlighted the importance of adequately disclosing fee practices and other conflicts of interest to fund investors in advertisements and investor reports, and of adequately reporting … 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.