Clear Compliance Guidance for Regulated Financial Firms
Ascend Compliance Partners helps financial firms address regulatory requirements through practical compliance consulting, careful reviews, and ongoing regulatory support.
We assist with the compliance work that requires attention throughout the year, including regulatory filings, written policies, annual reviews, risk assessments, testing, and regulatory updates.
Let’s Discuss Your Compliance Needs
Compliance requirements can vary considerably based on a firm's activities, registrations, and regulatory obligations. Ascend Compliance Partners works with firms to identify applicable requirements and address the compliance matters relevant to their business.
We support:
- Registered Investment Advisers (RIAs)
- Exempt Reporting Advisers (ERAs)
- Broker-Dealers
- Private Fund Managers
- Municipal Advisors
- Other regulated financial firms
Our work is centered on the areas that require regular attention, from maintaining compliance documentation to completing required reviews and responding to regulatory matters.
What We Do
Registration & Regulatory Filings
Assistance with registration requirements, amendments, and applicable SEC, FINRA, and state regulatory filings.
Personal Trading Reviews
Review of personal securities transactions in accordance with the firm's applicable policies and compliance requirements.
Annual Compliance Review
Review of the firm's compliance program and applicable policies and procedures as part of its annual review.
Compliance Policies & Procedures
Development, review, and updating of written compliance policies and procedures based on the firm's activities and regulatory obligations.
Risk Assessment
Evaluation of compliance risks and areas that may warrant further review or attention.
Compliance Documentation
Documentation of compliance reviews, testing, findings, and related activities
Code of Ethics
Support with the review and maintenance of the firm's Code of Ethics and related compliance requirements.
Regulatory Updates
Updates regarding regulatory changes that may affect the firm's compliance responsibilities.
Compliance Testing
Testing of compliance policies and procedures to assess their implementation and identify matters requiring attention.
Support Throughout the Year
Compliance work does not stop once an annual review is completed. Firms may encounter filing requirements, regulatory changes, policy updates, or compliance questions at different points during the year.
Ascend Compliance Partners provides assistance with these matters as they arise, helping clients address specific requirements and maintain current compliance materials.
Regulatory Examination Preparation
When an SEC, FINRA, or state examination occurs, preparation is important. We assist with reviewing examination requests, evaluating relevant compliance materials, identifying areas that may require attention, and preparing documentation for regulatory review.
Compliance Guidance Without the Unnecessary Complexity