Highlights of 2016, A Look Forward to 2017

Join Ascendant to review new IA regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation. Last December, Ascendant ComplianceCasts predicted the “pendulum swings some” in 2016. The presentation will cover up-to-date regulatory information and issue summaries … Read more

ERISA And The Management Of Pension Portfolios

ERISA And The Management Of Pension Portfolios Beyond 408(b)(2) Disclosure Prohibited Transactions Considerations for AUM Calculations Exemptions Insurance Concerns and Liabilities Potential DOL Examinations

Happy 10 Year Anniversary To The Compliance Program Rule

How Do Your Policies & Procedures Measure Up? The SEC adopted Rule 206(4)-7 in 2004 under the Advisers Act which required each investment adviser registered with the Commission to adopt and implement written policies and procedures reasonably designed to prevent … Read more

Managing Form ADV: Tips From A to Z

Managing Form ADV: Tips From A to Z Annual Delivery Requirements Material Changes Annual Amendment Process & Key Questions IARD System Tips Overview of Requirements Tips for Gathering and Managing Data Handling Disclosure Guidance and Tips for Navigating the IARD … Read more