Upcoming ComplianceCasts™

A new ComplianceCast webinar is in the planning stages and should be up for registrations shortly. Please check back soon.

The Compliance Solutions Strategies team offers ComplianceCasts, a customized web-based curriculum for IAs, BDs and hedge funds. ComplianceCasts intuitively examines the relationships between key regulatory issues and real-world business operations, addressing the educational needs of compliance officers and staff. Designed for your whole firm, ComplianceCasts are run by Ascendant experts with more than 25 years of experience in developing compliance training programs.

ComplianceCasts training focuses on key areas of interest for compliance, operational, and management personnel. Each ComplianceCasts session further integrates annual review compliance concepts, appropriate testing considerations, and SEC examination issues because we believe those frameworks must always be reviewed for a complete understanding of all compliance issues.

You will access ComplianceCasts via our secure link and view state-of-the-art active presentations – all you need is a web browser and a phone line to participate in real-time responses by panelists and information sharing with other participants.

To check out our ComplianceCast archive, click here.


View ComplianceCast™ Archive


COVID-19 and Compliance – Mitigation Efforts Will Have Compliance Consequences the SEC Soon Will Examine

We understand that COVID-19 has brought many stresses, both personal and professional.  To many private fund advisers, this may seem an appropriate time to allow “compliance” to take a “back-seat.”  However, many business and management decisions your firm now may be contemplating or is already positioned to take likely will have compliance ramifications, now or … Continued

Where Are Your Cybersecurity Blindspots with COVID-19?

Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce in the midst of the COVID-19 pandemic. While the availability of VPNs and cloud-based services has enabled firms to continue operating, the paradigm shift to an entire staff working from home has not come without … Continued

SEC Grants Section 17a No-Action Relief to Open-End Funds

The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry during the COVID-19 national emergency. Another recent action is the relief granted by the SEC to open-end investment companies that are not exchange-traded funds and are not considered money market funds (“Funds”). The relief, granted … Continued