Your firm can outsource an activity to third-party vendors, but it still retains oversight responsibility. This ComplianceCast is designed to review industry practices pertaining to identifying and monitoring service providers. It will also address questions from compliance teams around the … Read more
‘WannaCry’ is a wide-reaching ransomware attack that led to a May 17, 2017 SEC Risk Alert. Ascendant offers advice on how to battle ransomware in today’s environment.
When your head is down and you are doing your job on a day-to-day basis, it is very difficult – practically impossible – to stay up to date with regulatory developments, and perhaps more importantly, business best practices.
During our San Diego 2016 conference, we featured Jeff Glasbrenner, a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. This week, we’re thrilled to see Jeff on the cover of Sports Illustrated!
As 2017 begins to take shape, Ascendant reviews new investment adviser regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation