février 14, 2018
A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge…
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février 14, 2018
On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s…
février 13, 2018
SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and…
février 9, 2018
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.
février 7, 2018
Regulators continue to see firms failing to sufficiently tailor off-the-shelf compliance programs.
février 1, 2018
GDPR is not a financial regulation, but has the potential to profoundly impact the operations of financial firms abroad and in the U.S.
janvier 31, 2018
Ascendant is proud to have several team members honored by being shortlisted for C5’s 2018 Women in Compliance Awards. The…
janvier 5, 2018
CSS Chief Regulatory Officer Jeanette Turner was quoted in a recent Ignites article on how “Tech Transforms Compliance Role in…
décembre 20, 2017
On Friday, December 8, 2017, the SEC issued a Temporary Rule that provides a nine-month delay of the filing dates…
décembre 18, 2017
In a recent whitepaper we published on SEC Reporting Modernization, we talked about how “timely, accurate, complete and consistent data are required for Forms…
décembre 14, 2017
On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…
décembre 13, 2017
It’s clear to me that firms that have adopted a strategic approach in their response to regulation tend to view…