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

Conference Recap: Compliance As Gatekeepers

“Compliance As Gatekeepers: NextGen Skills for Effective Compliance Management” was the aptly titled conference hosted in Naples Florida. Ascendant brought in a variety of speakers that educated attendees on the complex compliance environment that firms face every day. Topics ranged … Read more

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

Ethics – Black versus White…and then there is Gray!

You can’t make others ethical, but you can give them the tools to do right when no one is looking. Detect Ethical Issues Presented in Case Studies Understanding Behavioral Ethics Case Studies Based on Real-Life Cases / Enforcement Actions Establish … Read more

Napa Compliance Conference Recap

Napa Compliance Conference Recap Our consultants provide a quick recap of Ascendant’s Fall 2013 compliance conference. Hear how staffing changes at the SEC may impact the assessment of your firm’s risks, and the areas in which examiners are finding deficiencies … Read more

Ascendant Compliance Spring Conference Recap – Part 1

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

Ascendant Compliance Conference Recap

Ascendant Compliance Conference Recap If you missed our Ascendant Compliance Conference in Scottsdale, or if you were able to attend and want a quick recap of the important topics to share with your firm, we summarize the key points raised … Read more

IARD Renewal, Social Media, Ethics

IARD Renewal, Social Media, Ethics In this podcast, we remind you about the IARD renewal program, and give a status update on social networking procedures and their relationship to the Code of Ethics.