ComplianceCast: Advertising & Marketing Compliance

Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics & Reviewing Tips for compliance professionals. This complimentary ComplianceCast covers the following topics: Investment Adviser Advertising Rules and No-Action Guidance … Read more

CCO Liability – Line in the Sand

The defense of a CCO’s reputation against liability claims costs significant money, and adds up whether you did something wrong or not, sparking the potential need for an individual liability policy.

Why Care About Ethics?

A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance and ethics. Importantly, the speech set out to explain how a good, effective compliance program can often help a firm … Read more

Compliance Perfection Isn’t Realistic. Amen.

Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.

Compliance Testing, Training & Triggers

Unearthing the Cracks in Your Compliance Program Foundation Finding the anomalies in testing Leveraging business units to identify gaps Developing a comprehensive risk inventory Addressing technology fears Providing effective and targeted Compliance training