Prepare for Business Continuity Planning Rule

The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans in order to legally operate under SEC jurisdiction. The rule … Read more

SEC’s Big Picture Points and Sandy Causes BCP Test

SEC’s Big Picture Points and Sandy Causes BCP Test Thanksgiving is right around the corner, and Ascendant is thankful for the incredible insights shared by an SEC panelist at our Scottsdale, AZ conference regarding the “big picture” items currently in … Read more