Blog hérité

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

Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and…

A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk…

For any business, “ports” that allow for communication generally need to be open (for example, ports 80 and 443 for…

In general, an expert network platform facilitates the exchange of information between “experts” and investment professionals. Unfortunately, certain industry participants…

On October 16, hundreds gathered at the Omni Shoreham Hotel in Washington D.C. to celebrate the 30th anniversary of the National Society…

Hope and fear play a major role in behavior ethics. Behavior ethics is teaching us that we are teaching ethics…

While changes to Form ADV on October 1, 2017 have been well-publicized, we encourage firms not to overlook the other…

On September 28, 2017, the SEC provided regulatory relief to individuals and entities subject to the ’33 Act, ’34 Act…

The determination of hackers to exploit existing cybersecurity vulnerabilities of government agencies and businesses shot to the forefront again last…

Alongside technology experts from American Express, Credit Suisse and CIBC, Ascendant’s Jason Morton will speak on developments in regulatory technology…

As Hurricane Harvey touches down on U.S. soil and we hope for the safety of the millions in its path,…