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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…

On Friday, December 8, 2017, the SEC issued a Temporary Rule that provides a nine-month delay of the filing dates…

In a recent whitepaper we published on SEC Reporting Modernization, we talked about how “timely, accurate, complete and consistent data are required for Forms…

On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…

It’s clear to me that firms that have adopted a strategic approach in their response to regulation tend to view…

  Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and…

Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…

Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an…

Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance…

The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…