Author: Compliance Solutions Strategies

In early 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA released their annual examination priority letters,…

The presidential election as well as the current composition of the SEC has potential impacts for many regulations, including one…

The Impact on Thousands of Advisory Firms Ways an Adviser May Inadvertently Have Custody Practical Implications Next Steps More Surprise…

Priorities are based on new data-driven and risk-based OCIE objectives. Join ComplianceCast to learn about Ascendant’s observations and takeaways for…

Join Ascendant to review new IA regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation. Last…

Portfolio Management and Trading Learning objectives: Portfolio Construction and Implementation Processes Understanding the Trading Life Cycle Order Aggregation and Trade…

Due Diligence of Third-Party Service Providers Learning Objectives: Regulatory Expectations Identifying Your Firm’s Service Providers Assessing a Service Provider’s Risk…

Ethics: Who Cares and Why Care? Learning Objectives: Learn how compliance can place ethics at the forefront of all employees’…

Planning for the Annual Review and Reporting Learning Objectives: Who Conducts and How to Conduct the Annual Review Planning and…

Troubleshooting CFTC and NFA Deficiency Concerns for Advisers Learning Objectives: Overview of the current CFTC and NFA landscape Understand the…

CCO Liability: Truth, Misunderstandings and How to Protect Yourself (Everything You Always Wanted To Know About CCO Liability But Were…

Navigating the Minefield of Regulatory Filings & Forms Current snapshot of required filings Identifying difficult aspects Methods for managing Current…