By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)...
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment managemen...
ESG investing is still evolving and will continue to do so for years to come. As part of that evolution, ESG frameworks are emerging to standardize th...
Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirem...
Download our latest whitepaper to learn about key challenges of PRIIPs KID, best practices and end-to-end capabilities needed to meet the requirements...
With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a......
The CFTC recently issued a Request for Information, asking the public how the CFTC should consider climate risk in its......
On May 25th the SEC proposed an ESG disclosure framework for investment advisers and funds, examined in detail below. With......
The Bitcoin 2022 Conference, held in South Beach April 6-9, was very well attended with upwards of 25,000 attendees, a......
The “Technoking and Chief Executive Officer of Tesla”, who on March 14th surpassed a 5% ownership threshold in the social media ...
Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about......
Large Corporates and Financial Firms Face a New Breed of ESG Regulation under the EU’s Corporate Sustainability Due Diligence Directive......
During its examinations of advisers and funds, the Securities and Exchange Commission has observed a lack of cyber preparedness, determining......
On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight......
To state the obvious, the EU’s Sustainable Finance Disclosure Regulation (SFDR) has received immense attention from the financial sector in......
For some attacks, the amount of time to compromise and exfiltrate data is measured in seconds. Time is of the essence when a potential incident occurs.
Financial services are target No. 1. That was confirmed in a 2014 SEC cybersecurity roundtable when Larry Zelvin, then a…
The Current State of Market Manipulation in Financial Markets Overview of Trade-Based and Contract-Based Open Market Manipulation How to Measure…
Common ‘Cents’ Compliance: How Managing an Effective Program Can Save You Millions Current SEC Priorities for Investment Advisers. The Current…
It seems like there’s a new data breach in the news every other week. The fact is that hacking tools…
Think cybersecurity breaches won’t happen to your firm? It may be time to reconsider. Cybersecurity breaches are becoming much more…
CyberINsecurity: What You Don’t Know Can Hurt You Learning the Lingo: Understanding Basic Cybersecurity Concepts That Regulators Expect Your Firm…
Custody of Client Funds and Securities The sometimes-tricky determinations of custody. How apps can trigger custody. Third-party wires, forwarding checks…
Form ADV Overview Form ADV Part 1 Form ADV Part 2A Form ADV Part 2B Proposed Amendments to Form ADV…
Join Ascendant consultants as they discuss trends we have seen in 2015 and what that means for the Annual Review,…
Tone at the Top, Training and Tips How tone at the top can set a healthy compliance culture or render…
When investment advisers use the cloud, they are making a conscious, informed decision to outsource tasks to vendors who may…