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

OCIE Examined 15% of RIAs in 2017

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed in its Fiscal Year 2019 Congressional Budget Justification Annual Performance Plan. In the same report, the SEC said the staff will continue to improve its efforts of RIAs, noting that nearly 35 percent of all … Continued

Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls

A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge fund managers when using hypothetical performance or model data in marketing efforts, and how managers relying on such data can avoid enforcement actions. Adam DiPaolo, Senior Consultant in Ascendant’s Private Funds group, is quoted in the … Continued

SEC’s Exam Priorities Offer Insight Into National Exam Program

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s summary here). In addition to defining their examination priorities for the year, the OCIE staff offered some insight into the National Exam Program.  Specifically, they defined the following five principles in executing their exam priorities: … Continued

SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules

SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and hold themselves to high standards. Speaking via videoconference during Securities Regulation Institute’s recent annual conference, he said, “To be blunt, from what I have seen recently, particularly in the initial coin offering (“ICO”) space, they … Continued

Custody Toolkit

The complexity of the SEC’s Custody Rule is not to be underestimated. Custody issues remain among the most common deficiencies cited during SEC exams, and even firms with strong compliance programs have had challenges interpreting and applying the different rule elements, No-Action letters, FAQs and Investment Management Guidance Updates. Based on our experience in the … 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.