Upcoming ComplianceCasts™

Investment Adviser and Private Fund Testing

Broadcast Date: Thursday, Nov 29 at 2pm ET

Private fund advisers are subject to a number of regulatory reporting requirements and other compliance obligations. Through recent SEC actions and enforcements, areas of increased scrutiny and risk have been clearly highlighted. This ComplianceCast will go over recent SEC focus items and testing in the following areas:

  • Code of Ethics
  • Advertising and Sales Materials
  • Valuation
  • Portfolio Management & Trading
  • Safeguarding Client Assets
  • Fees and Expenses
  • Business Continuity & Disaster Recovery
  • And More!
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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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