Compliance Tag

Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….

Thinking about how to make ethics and compliance part of a business’s decision-making can prove to be challenging. By nature,…

When it comes to managers of alternative assets, it seems there’s a bit of a trust problem. According to a recent CFA…

A strategic approach to regulation in the investment industry is frequently championed in financial news articles and blogs. The majority…

CSS’ global profile continues to rise. Chief Regulatory Officer Jeanette Turner recently appeared on Bloomberg Markets: Rules & Returns to…

If your firm isn’t already using an outside consultant, you may want to ask yourself “why not?” Oftentimes at hedge…

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…

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

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

‘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.

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!