July 13, 2018
Somewhat more reminiscent of the broken-windows enforcement era, two affiliated private equity advisers managing billions settled with the SEC on…
SEC Tag
July 12, 2018
On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by…
June 26, 2018
On the topic of SEC Deficiency Letters, if you have received one, you must promptly take corrective action. The SEC…
May 18, 2018
On May 16, 2018, the SEC’s Office of Investor Education and Advocacy launched an educational website meant to demonstrate a…
May 15, 2018
Are you ready for Form ADV Part 3? As if the last annual updating amendment filing was not tedious enough…
May 9, 2018
NOTE: Ascendant Director of Cyber IT Services E.J. Yerzak recently spoke at the AIM Summit in Abu Dhabi, a conference…
March 22, 2018
A panel of the U.S. Court of Appeals for the Fifth Circuit has vacated the Department of Labor’s Fiduciary Rule….
February 15, 2018
In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed…
January 5, 2018
CSS Chief Regulatory Officer Jeanette Turner was quoted in a recent Ignites article on how “Tech Transforms Compliance Role in…
November 30, 2017
Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…
November 20, 2017
Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an…
November 14, 2017
The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…