Ascendant Compliance Solutions Strategies Spring 2019 Conference

Loews Miami Beach Resort

Ascendant and Compliance Solutions Strategies conferences, held in prime locations around the United States, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings.

In-depth interaction among conference attendees facilitates peer-learning, with guidance and instruction from our panelists and experts. Speakers typically include current and former SEC and FINRA officials, top lawyers and leading CCOs. Focusing on industry trends, recent changes, and day-to-day issues, they offer guidance and tangible solutions that participants can take away for immediate implementation. Conference CLE credits may be accepted by jurisdictions that recognize this approved-provider status.

Our conferences help compliance professionals understand the implications of new and evolving regulations and technologies, explore innovative ways to look at foundational compliance topics, and deconstruct developing rules and initiatives. From the impact of new regulatory initiatives to effective utilization of compliance tools to managing people, processes and technology, join us to learn the latest on developing powerful compliance programs.

Compliance 2.0 – Being a Strategic Partner in Your Firm

Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking across industries and nations, the days of drawing a short straw, getting drafted into a compliance role and operating in isolation outside of the business are – or should be – ancient history. Since the … Continued

Finding the Phish in Your Firm’s Pond

It’s Friday afternoon, and you’re planning to leave early and get a jump start on your weekend. You receive an email with the subject “Office 365 – Failed Login Attempts – Password Reset Required Immediately!” You wonder who tried to access your account or whether you forgot to logout of your email on the public computer at the hotel business center.

Securing Your Investments: Why Cybersecurity Matters for Private Equity Investments

Would you buy a car without taking it for a test drive? It seems obvious you would want to know the vehicle has all its parts, and that those components work together to make the vehicle operate properly.