Author: Ascendant Compliance

The Boston Regional Office of the SEC has recently conducted roughly 20 unannounced visits to registered investment advisers in the…

The Secretary of Labor, Alexander Acosta, made a court filing on August 9 requesting the Transition Period and Delay of…

The results of the SEC’s second cybersecurity sweep examinations are in, and they paint a picture of an industry that has come to grips with the need to address cybersecurity risk, but where the canvas is incomplete in many respects.

On the heels of the recently adopted New York State Department of Financial Services Cybersecurity Regulation (23 NYCRR 500), Colorado…

The SEC is conducting “electronic messaging” examinations — mainly in the New York region — which include all forms of written communications related to an Adviser’s business.

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It’s only going to get harder to detect 21st century fraud with 20th century technologies. Embrace technology in your compliance program.

In addressing the SEC reporting modernizations of Form N-Port, those in the mutual fund industry would be wise to be planning for 2018 now.

Many private fund advisers are wondering: How does the DOL Rule apply to my business? Why does it apply to…

Supreme Court ruled that the SEC is bound by a five-year limitation period when it seeks disgorgement from those who have violated federal securities laws.

Review industry practices pertaining to identifying and monitoring service providers, and developing and implementing a due diligence program.

After months of delays, the DOL’s Fiduciary Rule goes into effect on June 9, 2017. What does this mean?