November 14, 2017
The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…
Author: Ascendant Compliance
November 3, 2017
Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and…
November 2, 2017
A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk…
October 30, 2017
For any business, “ports” that allow for communication generally need to be open (for example, ports 80 and 443 for…
October 27, 2017
In general, an expert network platform facilitates the exchange of information between “experts” and investment professionals. Unfortunately, certain industry participants…
October 23, 2017
On October 16, hundreds gathered at the Omni Shoreham Hotel in Washington D.C. to celebrate the 30th anniversary of the National Society…
October 23, 2017
Hope and fear play a major role in behavior ethics. Behavior ethics is teaching us that we are teaching ethics…
October 18, 2017
While changes to Form ADV on October 1, 2017 have been well-publicized, we encourage firms not to overlook the other…
October 3, 2017
On September 28, 2017, the SEC provided regulatory relief to individuals and entities subject to the ’33 Act, ’34 Act…
September 25, 2017
The determination of hackers to exploit existing cybersecurity vulnerabilities of government agencies and businesses shot to the forefront again last…
August 28, 2017
Alongside technology experts from American Express, Credit Suisse and CIBC, Ascendant’s Jason Morton will speak on developments in regulatory technology…
August 25, 2017
As Hurricane Harvey touches down on U.S. soil and we hope for the safety of the millions in its path,…