Author: Ascendant Compliance

Consider joining us in Miami from April 15-17 to examine the implications of new and evolving regulations and technologies, explore…

Ascendant/CSS San Diego Conference Another compliance conference is in the books. We had a great time in San Diego, and…

The Compliance Program Rule continues to be a powerful tool for SEC enforcement, recently used by the SEC to address…

If you attended Ascendant’s 2016 San Diego conference,  you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff…

On May 16, 2018, the SEC’s Office of Investor Education and Advocacy launched an educational website meant to demonstrate a…

Ascendant Senior Consultant Melanie Mendoza has over 30 years of investment compliance industry experience, focused on investment advisers, registered investment…

On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package…

A panel of the U.S. Court of Appeals for the Fifth Circuit has vacated the Department of Labor’s Fiduciary Rule….

On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to the mutual fund liquidity-related disclosure requirements. Specifically,…

For investment advisers currently going through an SEC exam, the process likely bears little resemblance to exams of old. Call…

If your firm isn’t already using an outside consultant, you may want to ask yourself “why not?” Oftentimes at hedge…

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed…