Upcoming ComplianceCasts™

Due Diligence of Sub-Advisers and Other Third-Parties

Broadcast Date: Tuesday, November 21 at 2pm ET

November’s Compliance Cast will look at the Adviser/Sub-adviser relationship, from the standpoint of sub-adviser. During the session, we will discuss:

  • Qualities of an attractive sub-adviser candidate
  • Initial and ongoing due diligence expectations
  • Communications with the primary adviser
  • Compliance and operational issues

The session will be presented by Melanie Mendoza and Matt Calabro of Ascendant, and Christine James, CFA, Managing Director, SubAdvisory Client Practice Leader at Wells Fargo Asset Management.

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Highlights of 2017, Looking Forward to 2018

Broadcast Date: Thursday, December 14 at 2pm ET

  • Review Last Year’s Predictions
  • SEC “Core Principles”
  • 2017 SEC Focus and Risk Alerts (Form ADV, Frequent Exam Deficiencies, Diminished Capacity, etc.)
  • SEC Exam Priorities for 2018
  • Changes at the SEC
  • Trends in SEC Enforcement
  • See the Future: New 2018 Predictions
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Recent ComplianceCasts™

Recent ComplianceCast™ Minutes


ComplianceCasts™ are the property of Ascendant Compliance Management, Inc. (“Ascendant”) and/or may not be reproduced or redistributed in any form without the express written consent of Ascendant. ComplianceCasts™ are provided for educational purposes only, and are not intended to be and cannot be construed to be financial or legal advice. Ascendant is not a law firm and does not provide legal advice. Adherence to any recommendation does not imply compliance with any applicable law, regulation, or guidance. All facts and matters stated herein should be independently verified.

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Schedule 13D/13F Clarity on ETF Issues

Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an ETF? Generally, no. The SEC has granted no-action relief to ETFs with respect to compliance with Section 13(d) of the Securities Exchange Act. Section 13(d) was designed to require disclosure when holders begin to accumulate … Continued

New Remedy Coming for SEC’s Custody Rule?

The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has caused huge headaches for investment advisers, who are not a party to the agreement and may not even have a copy of the custodial new account paperwork. The issue with existing guidance is that it … Continued

SEC Issues MiFID II No-Action Relief

Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and investment advisers regarding European MiFID II regulations. The letters followed consultation with the European authorities, and are designed to address concerns that investors could lose access to valuable research. MiFID II is a series of regulations … Continued

Regulatory Changes Impacting RICs and Service Providers

A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk management programs and swing pricing. New forms N-Port and N-Cen along with amendments to Regulation S-X significantly change the current reporting regime for most registered investment companies (RICs) because they require more comprehensive disclosure and … Continued

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Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.