Author: Ascendant Compliance

U.S. Securities and Exchange Commission Chair Mary Jo White will depart her role coinciding with the end of the Obama Administration…

The Department of Labor Fiduciary regulation is on the rocks, and what the incoming presidential administration plans to do with it will have lasting consequences.

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Mary Jo White recently announced plans to depart her role coinciding with the end of the Obama Administration in January 2017. Her resignation marks the symbolic shift in the composition of the Commission.

The SEC announced a record year for enforcement, with 868 total actions in fiscal year 2016, an increase of almost 15 percent over just two years ago.

BCP, ADV and other SEC targets were discussed by SEC Assistant Regional Director of the Boston Office Mayeti Gametchu and other panelists at a recent NEBDIAA meeting.

The list of rulemaking changes, technology advancements and possible policy shifts is enough to send you hiding for cover under your desk. Educating yourself is your best option for assisting your firm with the continually evolving regulatory landscape.

The defense of a CCO’s reputation against liability claims costs significant money, and adds up whether you did something wrong or not, sparking the potential need for an individual liability policy.

It is impossible to rely on systems that ignore the tremendous amount of data available to us in the transaction history. Post-trade analysis that begins and ends with the days trading activity is simply ineffective.

The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers…

The NFA recently amended NFA Compliance Rule 2-46 to impose a $200 late fee for each business day that members are late with their filings. This late fee will become effective for all such filings starting on September 30, 2016.