Juli 12, 2018
On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by…
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Coffee & Regs TV - What's Next for Compliance in 2022
Coffee & Regs TV - Investment Monitoring Rewind & 2022 Preview
PRIIPs Predictions in 2022
Coffee & Regs TV - What's Next for Cybersecurity in 2022
Coffee and Regs TV - Shareholding Disclosure Rules for Managed Holdings
Coffee & Regs TV - The Latest on the PRIIPs Delay
Coffee & Regs TV - Insights into SEC Examinations
Coffee & Regs TV - Digital Assets_ Trading & Compliance for Cryptocurrency
SEC Insights on ESG
Coffee & Regs TV – What's Next for the EU SFDR Level 2
Coffee & Regs TV - The PRIIPs RTS
Coffee & Regs TV - ESG FAQs Part 2
Coffee & Regs TV - ESG FAQs Part 1
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Coffee & Regs TV - USA Position Limits - Too Many Options
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Coffee & Regs TV - The Future of Data Privacy Regulations
Coffee & Regs TV - The Mood of Compliance
Coffee & Regs TV - What's Next for Cybersecurity in 2022
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Juli 3, 2018
In what has become an ongoing race among states to have the toughest privacy regulation in the U.S., California has…
Juni 27, 2018
CSS’ global profile continues to rise. Chief Regulatory Officer Jeanette Turner recently appeared on Bloomberg Markets: Rules & Returns to…
Juni 26, 2018
On the topic of SEC Deficiency Letters, if you have received one, you must promptly take corrective action. The SEC…
Juni 19, 2018
If you attended Ascendant’s 2016 San Diego conference, you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff…
Juni 15, 2018
The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs….
Juni 14, 2018
CSS has observed more and more investment advisers falling victim to Business Email Compromise, or “BEC” schemes over the past…
Juni 1, 2018
The embattled U.S. Deputy Attorney General Rod Rosenstein recently spoke to compliance pros at the 2018 Annual Conference for Compliance…
Mai 21, 2018
The Cayman Islands has further bolstered its anti-money laundering (“AML”) and countering of terrorist financing (“CTF”) rules. The new AML/CTF…
Mai 18, 2018
On May 16, 2018, the SEC’s Office of Investor Education and Advocacy launched an educational website meant to demonstrate a…
Mai 15, 2018
Are you ready for Form ADV Part 3? As if the last annual updating amendment filing was not tedious enough…
Mai 9, 2018
NOTE: Ascendant Director of Cyber IT Services E.J. Yerzak recently spoke at the AIM Summit in Abu Dhabi, a conference…