Author: Ascendant Compliance

A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge…

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s…

SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and…

The key portion of the SEC’s 2018 priorities for advisers was devoted to the protection of retail investors, including seniors and those saving for retirement.

Regulators continue to see firms failing to sufficiently tailor off-the-shelf compliance programs.

GDPR is not a financial regulation, but has the potential to profoundly impact the operations of financial firms abroad and in the U.S.

Ascendant is proud to have several team members honored by being shortlisted for C5’s 2018 Women in Compliance Awards. The…

On Friday, December 8, 2017, the SEC issued a Temporary Rule that provides a nine-month delay of the filing dates…

On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…

  Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and…

Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…

Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an…