Blog CSS

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…

Each investment adviser’s Code of Ethics and other compliance policies set forth the standards of business conduct to which supervised…

Ascendant Senior Consultant Melanie Mendoza has over 30 years of investment compliance industry experience, focused on investment advisers, registered investment…

On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package…

A key message we picked up at a recent conference was how the role of the Chief Compliance Officer (CCO)…

The firms with the best and most pro-active cyber defenses are often the worst responders if their defenses are actually…