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The Compliance Program Rule continues to be a powerful tool for SEC enforcement, recently used by the SEC to address…

If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it,…

Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy- and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are needed to effectively manage reputational risk and avoid costly fines.

Leading alternative investment management firm Hamilton Lane recently announced that it successfully filed its Form ADV using Compliance Solutions Strategies’…

https://www.youtube.com/watch?v=PH-xZDxiP3U

In late June, PIMFA, the UK wealth management association and TISA, the Tax Investment and Savings association published the “MiFID…

Somewhat more reminiscent of the broken-windows enforcement era, two affiliated private equity advisers managing billions settled with the SEC on…

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…