July 3, 2018
In what has become an ongoing race among states to have the toughest privacy regulation in the U.S., California has…
CSS Blog
June 27, 2018
CSS’ global profile continues to rise. Chief Regulatory Officer Jeanette Turner recently appeared on Bloomberg Markets: Rules & Returns to…
June 26, 2018
On the topic of SEC Deficiency Letters, if you have received one, you must promptly take corrective action. The SEC…
June 19, 2018
If you attended Ascendant’s 2016 San Diego conference, you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff…
June 15, 2018
The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs….
June 14, 2018
CSS has observed more and more investment advisers falling victim to Business Email Compromise, or “BEC” schemes over the past…
June 1, 2018
The embattled U.S. Deputy Attorney General Rod Rosenstein recently spoke to compliance pros at the 2018 Annual Conference for Compliance…
May 21, 2018
The Cayman Islands has further bolstered its anti-money laundering (“AML”) and countering of terrorist financing (“CTF”) rules. The new AML/CTF…
May 18, 2018
On May 16, 2018, the SEC’s Office of Investor Education and Advocacy launched an educational website meant to demonstrate a…
May 15, 2018
Are you ready for Form ADV Part 3? As if the last annual updating amendment filing was not tedious enough…
May 9, 2018
NOTE: Ascendant Director of Cyber IT Services E.J. Yerzak recently spoke at the AIM Summit in Abu Dhabi, a conference…
May 7, 2018
Each investment adviser’s Code of Ethics and other compliance policies set forth the standards of business conduct to which supervised…