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.

Register now for best pricing – $600 off!

Tips to Prevent an SEC OCIE Investment Adviser Exam from Going Bad

Strategies to employ when an SEC OCIE adviser exam goes bad drew a great crowd at the recent CSS Ascendant Fall Compliance Conference. Proactively pointing an exam in the right direction was a consistent theme, summarized by the familiar refrain: “There is no substitute for preparation.” A few keys to note if you find your … Continued

Giving Voice to Values: A New Approach to Ethics

The “Giving Voice to Values” program grew out of Professor Mary Gentile’s frustration of what was going on in both the financial industry and in higher education. She was frustrated and angry about the poor way that ethics was being taught in universities and applied in real-world scenarios. What developed out of her frustration is … Continued

Tips for Developing a Tailored Private Fund Compliance Calendar

As regulatory concerns proliferate and become more complex, developing and monitoring your “to-do” list becomes of paramount importance.  John Gentile, the Director of Private Fund Manager Services for Compliance Solutions Strategies and Michael Emanuel, a Partner at Stroock & Stroock & Lavan LLP provided attendees of the recent CSS 2019 Fall Conference some insight into … Continued