San Diego 2018 Conference Gallery

Ascendant/CSS San Diego Conference Another compliance conference is in the books. We had a great time in San Diego, and we think our attendees did, too. We hope to see you in Miami! (Click on photos to view full size.)  

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

The Expanding Compliance Universe: Advanced Perspectives and Practical Solutions

A Year of Regulatory Change SEC Requirements – What’s New and What’s on the Horizon Essential Components of a Compliance Program Evolving Compliance Monitoring and Testing Expectations Understanding Regulatory Filings Cybersecurity Essentials Private Fund Regulation – the SEC’s Focus The Expanding Compliance Universe is a confluence of ever moving, ever changing points of regulations, conflicts … Continued

Expanding and Harmonizing the Footprint

Exploring the regulatory landscapes of the US and the UK – highlighting key similarities and differences Compliance Program Management: FCA and SEC Regulations Intersect Ascendant Compliance Management and CCL partner to educate compliance professionals on effectively managing this transatlantic cross-section. Call it Enterprise Risk Management and paving the way for growth. Expanding your firm’s footprint … Continued

6 Tips for Responding to Breaches

Data breaches can result from cyberattacks as well as insider threats or errors. At Ascendant’s conference, “Complexities of Compliance in a New Era of SEC Initiatives,” one of the panels discussed the varied methods by which sensitive information is being compromised, and explained several practical considerations for the formation of an Incident Response Team. In … 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

Takeaways and Tips Related to SEC Risk Alert on Regulation S-P

On April 16, 2019, the SEC released a Risk Alert providing a list of compliance issues related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment advisers and broker-dealers. As with other risk alerts, these were deficiencies noted by OCIE in regulatory examinations. Though the deficiencies were fairly common … Continued

How to Be a Wildly Effective Compliance Officer

Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the firm, and staying on top of new regulations is only part of the job. Compliance Officers are also expected to be flexible and pro-business. So how do you do it all? How can you be … Continued

Mitigating the Risk of Insider Trading

One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading to a charge of insider trading. Advisers should implement controls to mitigate these risks. Steven Stone of Morgan, Lewis & Bockius, LLP, Salvatore Cincinelli of the FBI and David Chaves of Tone at the Top … Continued

Compliance 2.0 – Being a Strategic Partner in Your Firm

Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking across industries and nations, the days of drawing a short straw, getting drafted into a compliance role and operating in isolation outside of the business are – or should be – ancient history. Since the … Continued

Big Data Part III: Preparing for the Future of Global Regulatory Governance

United States and European Union reporting requirements imposed on investment managers have exploded since the Global Financial Crisis and, with the imminent arrival of SFTR in Europe, it seems poised to expand again. The challenge of reporting trades, transactions and contracts in multiple jurisdictions requires firms to embrace technology as regulators continue to look to … Continued

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