and getting ready for the next annual refresh With the Packaged Retail and Insurance-based Investment Products (PRIIPs) Key Information Document......
Much ink has lately been spilled over the new Short Sale reporting rule in the U.S. New Rule 13f-2 was......
The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in......
Authors: John Gentile, Director, Private Fund Services, Confluence Armando DeChalus, Regulatory Compliance Analyst, Confluence The private fund regulatory landscape just......
Authors: Alison Fraser, Director, Institutional & RIC Services, Confluence Kevin Renner, Consultant, Confluence The SEC Division of Examinations (“EXAMS”) issued......
Author: Aspasia Latsi, International Regulatory Analyst Now that the TSAM – the Summit for Asset Management in London – is......
Global scientific consensus and domestic political interests compete for its attention The SEC’s forthcoming Final Rule, requiring climate-related disclosures by......
The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers....
Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers...
A steady increase in the threat that data breaches pose to individual investors has spurred the Securities and Exchange Commission to revisit the issue of safeguarding customer information....
Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished......
As we leave 2022 behind and 2023 begins, make sure you didn’t miss a thing last year with this recap of our top insights....
Identity theft is on the rise, and the U.S. Securities and Exchange Commission has taken notice of weaknesses in registered investment advisers’ controls....
COP27, the UN’s annual climate change conference held this year in Egypt from 6 to 18 November with about 100 heads of state in attendance......
This blog was originally published at Markets Media on October 7, 2022. Sustainable investing disclosures in the U.S. are currently governed by general fraud prohibitions in advertising and not by formal...
You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.
A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge…
On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s…
SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and…
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.
Regulators continue to see firms failing to sufficiently tailor off-the-shelf compliance programs.
GDPR is not a financial regulation, but has the potential to profoundly impact the operations of financial firms abroad and in the U.S.
Ascendant is proud to have several team members honored by being shortlisted for C5’s 2018 Women in Compliance Awards. The…
CSS Chief Regulatory Officer Jeanette Turner was quoted in a recent Ignites article on how “Tech Transforms Compliance Role in…
On Friday, December 8, 2017, the SEC issued a Temporary Rule that provides a nine-month delay of the filing dates…
In a recent whitepaper we published on SEC Reporting Modernization, we talked about how “timely, accurate, complete and consistent data are required for Forms…
On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…
It’s clear to me that firms that have adopted a strategic approach in their response to regulation tend to view…
