How to Improve Your Forensic Testing

In this ComplianceCasts™ Minute Jackie Hallihan and Adam DiPaolo discuss forensic testing. The SEC’s ongoing effort to uncover trends using data analytics means that firms need to know what their data says about them. It’s not just about analyzing data. … 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

A Focus on the Regulatory Horizon

Ascendant Compliance consultants Eugenie Warner and Jackie Hallihan give us insight on recent speeches from SEC Chair Mary Jo White. Topics covered include; new initiatives for improved methods of regulating the asset management industry, recent updates on new SEC mandates, … Read more

Measuring and Monitoring Risk

Measuring and Monitoring Risk An effective compliance program demands written procedures which demands risk assessment.  The objective is to avoid harm to investors—and to your firm. Here, Jackie Hallihan, Partner and Eugenie Warner, Consultant at Ascendant discuss risk assessment – … Read more