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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…

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…