May 26, 2021
If there is one certainty about regulatory compliance, it is that nothing is static (isn’t that one of the things…
compliance program Tag
January 23, 2020
No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning….
January 17, 2020
Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s…
October 23, 2019
Long gone are the days when compliance was grudgingly accepted as a necessary optic to largely allay the regulators and…
October 22, 2019
At the recent CSS Fall 2019 Conference, experienced professionals Jeff Blumberg of Faegre Baker Daniels and John Gentile of CSS…
April 30, 2019
Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…
August 28, 2018
The Compliance Program Rule continues to be a powerful tool for SEC enforcement, recently used by the SEC to address…
June 1, 2018
The embattled U.S. Deputy Attorney General Rod Rosenstein recently spoke to compliance pros at the 2018 Annual Conference for Compliance…
February 14, 2018
On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s…
February 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.
February 7, 2018
Regulators continue to see firms failing to sufficiently tailor off-the-shelf compliance programs.
August 25, 2017
The Boston Regional Office of the SEC has recently conducted roughly 20 unannounced visits to registered investment advisers in the…