Ascendant Compliance Solutions Strategies Spring 2019 Conference Tag

Engaging third-party service providers to perform key functions can offer an investment adviser access to state-of-the-art technology and solutions necessary…

Rule 206(4)-7 requires each registered adviser to review its policies and procedures no less frequently than annually, to determine their…

Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…

Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…