Author: Ascendant Compliance

The SEC has expanded its cybersecurity examinations to include testing of firms’ implementation of procedures and controls

The GIPS Compliance Form deadline is rapidly approaching…

Ascendant’s ongoing education series ComplianceCast returns on Thursday, June 16 at 2 pm ET with an episode focused on regulatory…

A password manager is a much better way to keep track of your passwords and ensure they are all secure and up to industry standard. Browser-saved password don’t offer a lot and can sometimes lead people into the pitfalls of poor password management.

The SEC plans to propose the rules establishing a program of third-party compliance assessment in April 2017

A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance…

Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.

With investment advisers encouraged to begin filing suspicious activity reports (SARs) as soon as possible upon the issuance of the final anti-money…

CCOs are worried about CCO liability due to various concerns and confusions.

In a first for the country’s growing body of state breach notification laws, Tennessee has recently amended its law to…

The IAA has announced its public support of a bill that would provide relief from the “past specific recommendation” rule

The CRD system’s balance representation’s will now be much more intuitive.