Upcoming ComplianceCasts™

Standards of Business Conduct: Personal Trading and Beyond

Broadcast Date: Thursday, Jun 14 at 1:30pm ET

One of the most important assets a firm can possess is a sterling reputation, and maintaining such a reputation involves proactive attention. While most firms address standards of business conduct in their Codes of Ethics, it’s important to periodically reassess and update them. By incorporating technology, firms can mitigate reputational risk and maximize efficiency throughout their organization. Please join us for a practical discussion of:

  • Evolving standards of business conduct
  • How to incorporate technology into your Code of Ethics
  • Methods of testing and improving controls
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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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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.