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
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.