New Content Updated
Ascendant Compliance Management's Conferences + Education is dedicated to the advancement of compliance professionals in the investment management industry. You will find that our focus covers compliance in an industry setting. After all, as regulators often pronounce, you need to understand your entire firm in order to monitor compliance.
Our conferences will continue to have the best securities minds in the industry. Our interactive approach will follow all of the latest trends in SEC examinations, disclosure requirements, fundamentals of compliance program development, trading and soft dollar issues, books and records (including email retention), marketing and advertising, and forensic testing, among other topics.
This intermediate to advanced program will explore in depth each item on the agenda. The goal of this program is to equip compliance professionals with the necessary tools for developing and maintaining the highest standards of business practice management.
This conference is designed for:
Investment adviser compliance and legal professionals, senior management and operations personnel. A fundamental understanding and familiarity with the Investment Advisers Act of 1940 and The Securities and Exchange Act of 1934 is considered necessary to partake in the program.
- August 13, 2013 Initial release
- March 05, 2014 New version 1.10
- March 12, 2014 New version 1.16
- May 06, 2014 New version 1.18
- June 28, 2014 New version 1.22
- August 11, 2014 New version 1.25
- September 04, 2014 New version 1.28
- September 14, 2014 New version 1.30
- September 21, 2014 New version 1.32
- February 11, 2015 New version 1.35
- March 06, 2015 New version 1.37
- March 26, 2015 New version 1.42
- September 20, 2015 New version 1.44