Custody of Client Funds and Securities The sometimes-tricky determinations of custody. How apps can trigger custody. Third-party wires, forwarding checks and transfers. The risk of failure to comply with the custody rule. Best practices and controls to avoid unwanted custody.
Recap Of The SEC’s Compliance Outreach Program Miss the SEC’s National Outreach program Seminar held in Washington, DC? No worries! Ascendant brings you up to speed on the topics discussed with this thorough recap ComplianceCast Minute. Hear what the SEC … Read more
Jumping Into Advertising Under The Jobs Act, And The Sec’s Custody About-Face With the SEC’s adoption of rules under the JOBS Act, new Rule 506(c) allows advisers to conduct general advertising and general solicitation if certain additional steps are taken. … Read more
Ascendant Compliance Spring Conference Recap – Part 1 Couldn’t make it to sunny, Naples, Florida for Ascendant’s 2013 Spring Compliance Conference? Korrine Kohm and Lisa Caruso give you a brief sampling of the important compliance and risk issues discussed by … Read more