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On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by…
In what has become an ongoing race among states to have the toughest privacy regulation in the U.S., California has…
CSS’ global profile continues to rise. Chief Regulatory Officer Jeanette Turner recently appeared on Bloomberg Markets: Rules & Returns to…
On the topic of SEC Deficiency Letters, if you have received one, you must promptly take corrective action. The SEC…
If you attended Ascendant’s 2016 San Diego conference, you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff…
The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs….
CSS has observed more and more investment advisers falling victim to Business Email Compromise, or “BEC” schemes over the past…
The embattled U.S. Deputy Attorney General Rod Rosenstein recently spoke to compliance pros at the 2018 Annual Conference for Compliance…
The Cayman Islands has further bolstered its anti-money laundering (“AML”) and countering of terrorist financing (“CTF”) rules. The new AML/CTF…
On May 16, 2018, the SEC’s Office of Investor Education and Advocacy launched an educational website meant to demonstrate a…
Are you ready for Form ADV Part 3? As if the last annual updating amendment filing was not tedious enough…
NOTE: Ascendant Director of Cyber IT Services E.J. Yerzak recently spoke at the AIM Summit in Abu Dhabi, a conference…
