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 … Read more

Broken Windows and the Normalization of Deviance

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 … Read more

Conference: Palm Springs, California

Monday, September 29 - Wednesday, October 1, 2014
The Westin Mission Hills Resort Villas, Palm Springs, Dinah Shore Drive, Rancho Mirage, CA, United States

Complexities of Compliance in a New Era of SEC Initiatives | New SEC Exam Tools & Strategies | Advancing Technologies | Cybersecurity | Implementation Essentials Ascendant’s Palm Springs Compliance Conference is designed as a forum for investment adviser compliance professionals … Read more