February 14, 2018 Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge…
February 14, 2018 SEC’s Exam Priorities Offer Insight Into National Exam Program On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s…
February 13, 2018 SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and…
February 9, 2018 2018 SEC Exam Priorities: What You Need to Know The key portion of the SEC’s 2018 priorities for advisers was devoted to the protection of retail investors, including seniors and those saving for retirement.
February 7, 2018 The Problem with Buying Off-the-Shelf: It May Not Fit! Regulators continue to see firms failing to sufficiently tailor off-the-shelf compliance programs.
February 1, 2018 U.S. Advisers Getting Serious About Fast-Approaching GDPR Deadline GDPR is not a financial regulation, but has the potential to profoundly impact the operations of financial firms abroad and in the U.S.
January 31, 2018 Ascendant Shortlisted for Two Global Compliance Awards Ascendant is proud to have several team members honored by being shortlisted for C5’s 2018 Women in Compliance Awards. The…
December 20, 2017 SEC Delays Form N-PORT Submission Requirements On Friday, December 8, 2017, the SEC issued a Temporary Rule that provides a nine-month delay of the filing dates…
December 14, 2017 Transparency Spreads to FINRA Exam Findings On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…
December 8, 2017 Cyber Crimes – Don’t Forget to File that SAR! Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and…
November 30, 2017 DOL Rule Extension to Overlap with SEC Consideration of Fiduciary Standards Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…
November 20, 2017 Schedule 13D/13F Clarity on ETF Issues Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an…