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Ascendant Compliance Conference

  • Date: -
  • Location: The Ritz-Carlton Golf Resort
    Naples, Florida

Good compliance teams focus on the present. Great ones look into the future, working to anticipate shifting rules and regulations as well as the corresponding responsibilities. Regulation of advisers has changed and expanded greatly in just the last few years, and promises to evolve further. Past approaches are no longer the most practical or economical. As a result, it’s time to revolutionize compliance processes. The goal of the conference is to empower you with dynamic strategies to affect necessary changes or improvements within your organization.

Conference panelists and keynote speakers are on the front lines of compliance, promising some of the most forward-thinking approaches to both current and developing issues that affect large advisers, small advisers and private fund advisers. You’ll hear from and interact with past and present SEC staff, current CCOs, seasoned regulatory attorneys, cybersecurity experts, Ascendant consultants and others.

Focus will be on topics both broad and narrow, allowing you to tailor a track to fit your specific needs.

  • New SEC Priorities
  • Business Continuity and Transition Planning
  • The DOL Fiduciary Rule
  • AML & Patriot Act Compliance
  • Due Diligence of Third-Party Vendors
  • Diminished Capacity
  • Cybersecurity Risks
  • Custody Issues
  • RegTech Solutions and Benefits
  • Depths of the SEC Exam Process
  • The Most Recent Rule-Making Impacting Advisers

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