Blog CSS

For investment advisers currently going through an SEC exam, the process likely bears little resemblance to exams of old. Call…

If your firm isn’t already using an outside consultant, you may want to ask yourself “why not?” Oftentimes at hedge…

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed…

CSS company Advise Technologies announced today that it won “Best RegTech Solution” at the 2018 HFM US Hedge Fund Technology…

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…