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Supreme Court ruled that the SEC is bound by a five-year limitation period when it seeks disgorgement from those who have violated federal securities laws.

Review industry practices pertaining to identifying and monitoring service providers, and developing and implementing a due diligence program.

After months of delays, the DOL’s Fiduciary Rule goes into effect on June 9, 2017. What does this mean?

According to a new alert from the U.S Department of Homeland Security, nine minutes is all it takes for your compromised personal information to be widely accessible and for sale

‘WannaCry’ is a wide-reaching ransomware attack that led to a May 17, 2017 SEC Risk Alert. Ascendant offers advice on how to battle ransomware in today’s environment.

Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics…

Jay Clayton has taken over the reins of the SEC after being sworn in as the 32nd Chair of the…

During our San Diego 2016 conference, we featured Jeff Glasbrenner, a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. This week, we’re thrilled to see Jeff on the cover of Sports Illustrated!

Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps

Operating Holding Companies and Transient Investment Company Status Clarified by SEC in Guidance Update

On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.

The BCP and transition planning rule–SEC Rule 206(4)-4–has major implications for both compliance and operations. ComplianceCast covers the proposed rule requirements, concerns and impacts.