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Each investment adviser’s Code of Ethics and other compliance policies set forth the standards of business conduct to which supervised…
Ascendant Senior Consultant Melanie Mendoza has over 30 years of investment compliance industry experience, focused on investment advisers, registered investment…
On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package…
A key message we picked up at a recent conference was how the role of the Chief Compliance Officer (CCO)…
The firms with the best and most pro-active cyber defenses are often the worst responders if their defenses are actually…
If we go back to the original compliance office, it was staffed with folks from the office of the General…
A panel of the U.S. Court of Appeals for the Fifth Circuit has vacated the Department of Labor’s Fiduciary Rule….
On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to the mutual fund liquidity-related disclosure requirements. Specifically,…
For investment advisers currently going through an SEC exam, the process likely bears little resemblance to exams of old. Call…
If your firm isn’t already using an outside consultant, you may want to ask yourself “why not?” Oftentimes at hedge…
In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed…
CSS company Advise Technologies announced today that it won “Best RegTech Solution” at the 2018 HFM US Hedge Fund Technology…
