Investment advisers
We provide a suite of services and solutions designed to help you meet your compliance obligations, through a team that includes former chief compliance officers, SEC regulators, lawyers, MBAs and members with many years of operational experience. We understand life from both sides of the desk.

SEC enforcement proceedings consultant
Pursuant to enforcement proceedings by the SEC, Ascendant has been retained by many companies as their “independent compliance consultant.”

Broker-dealers
We provide a range of services and solutions designed to help you meet your compliance obligations, through a team that includes former chief compliance officers, FINRA and SEC regulators, lawyers, MBAs and members with many years of operational experience. We understand life from both sides of the desk.

Hedge/PE funds
Ascendant is retained by hundreds of asset managers and broker-dealers in the U.S. and the U.K., including public companies and some of the world’s largest institutional asset managers, broker-dealers, investment consultants, wealth managers, and private equity and hedge fund managers.

CPOs/CTAs

• Consulting services
  Ascendant offers a range of services to commodity pool operators/commodity trading advisers, as well as those relying on exemptions from CPO/CTA regulation.
• Continuing education and training
  We provide ongoing support for your Associated Persons either on site or via ComplianceCasts on topics that are timely and relevant to NFA-regulated firms.
• NFA Registration
  Ascendant can assist your firm with NFA registrations and filings to ensure that you comply with Commodity Futures Trading Commission and NFA guidance.

Investment company services
Ascendant offers an array of compliance services to support open and closed-end investment companies. We partner with investment companies and their sponsors to provide the assistance required to meet regulatory obligations under the Investment Company Act of 1940, as amended, and other federal securities laws.