ComplianceCast: Advertising & Marketing Compliance

Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics & Reviewing Tips for compliance professionals. This complimentary ComplianceCast covers the following topics: Investment Adviser Advertising Rules and No-Action Guidance … Read more

Social Media – Likes, Links, and Longing for Compliance

Likes. Endorsements. Testimonials. Firm pages and employee pages. Many advisers are still struggling to understand the SEC’s patchwork of guidance on using social media. How can you use this medium effectively to reach clients and prospective clients, without running afoul … Read more

AIFMD and Article 42

AIFMD and Article 42 With the July 22, 2014 transitional filing date past us, we enter into the next phase of AIFMD requirements. Article 42 is presently the only way to actively market private funds to European Economic Area investors. … Read more

Conference Recap

Conference Recap If you were unable to make Ascendant’s Spring Conference in Savannah, Georgia, or you just want a recap, this ComplianceCast™ Minute will give you a brief recap of the highlights of the conference. With a focus on big … Read more