Decrypting Regulations: Cracking the Code to Powerful Compliance Programs

Compliance oversight of the financial services industry continues to experience transformations at the speed of business, accelerated by dynamic technological advancements and shifting regulatory priorities. While staying abreast of cornerstone compliance topics such as annual reviews, personal trading and portfolio management is always challenging, compliance teams are now also tasked with learning about subjects including … Continued

Conference Recap: Complexities of Compliance, Part 1

Ascendant hosted another really fantastic, content-filled conference in Palm Springs, California. Apply titled “Complexities of Compliance in a New Era of SEC Initiatives,” the conference broke down the complex compliance environment that presently exists and provided compliance professionals the guidance needed on how to deal with the ever changing regulatory landscape. Listen to this podcast … Continued

Broken Windows and the Normalization of Deviance

SEC Chair Mary Jo White has indicated that the SEC will not tolerate “Broken Windows”, or small violations. Here, Keith Marks, Partner at Ascendant, discusses the parallels of the SEC’s enforcement approach, and U.S. Astronaut Mike Mullane’s upcoming Palm Springs conference presentation on the dangers of the “Normalization of Deviance”. At Ascendant’s conference you can … Continued

Complexities of Compliance in a New Era of SEC Initiatives

Ascendant’s Palm Springs Compliance Conference is designed as a forum for investment adviser compliance professionals to: Advance compliance programs to meet the complexities of new SEC examination strategies, rapidly changing technologies and regulatory initiatives Prepare to meet the demands of critical Cybersecurity controls and programs Learn about new solutions, new methodologies, and new ways to … Continued

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

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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.