Ascent for Asset Management

Good governance is good for business

Returns are crucial, but not the only metric that matters. More than ever, asset managers are expected to meet the highest standards in fiduciary responsibility — which can reap great rewards.

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Reduce Risk and Costs

Getting dinged by regulators incurs a cost beyond the initial fine – time and effort gets wasted on damage control, your firm loses management focus, and your clients have a worse experience. Ascent keeps you out of the regulatory hot seat, at lower cost.

Cost-Effective Automation

Manual regulatory admin work is expensive and prone to error. Ascent’s AI delivers greater accuracy, at a fraction of the cost

Regulatory Expertise

Built with the expertise of in-house compliance experts, Ascent goes beyond great tech. We work to understand your business and guide you through proper implementation.

Less Outside Spending

Outsourcing compliance can cost upwards of 6 figures. Rely on outside counsel for true strategic and regulatory advice, not performing hours of rote research.

Adapt to Changing Environments

With a regulatory landscape constantly in flux, it can feel impossible to predict what the compliance concerns will be when launching a new product. Ascent brings certainly to your regulatory planning process, helping you understand the impacts of both internal business decisions and external regulatory changes.

Competitive Edge

The quickest to adapt will be the ones who win. Move faster in the market knowing the full extent of your compliance requirements.

Proactive Compliance

Never be caught off guard by a rule change. Ascent helps your team spot issues a mile away so you can proactively plan.

Strategy Focus

Your people are your best asset. Free them to focus on high-value work that will move your business forward, like designing regulatory strategy.

Keep Your Brand Pristine

Consumers are more informed of their choices than ever. As investment products become standard across the industry, your clients will look to the intangibles to make their purchase decisions, like your brand and reputation. Ascent helps you protect your good name so you can grow and keep your client base.

Fiduciary Duty

You’re committed to serving in your clients’ best interests. Ascent ensures you know how to follow the rules to a tee, so you can focus on delivering great service.

Modern Compliance

Expectations for a digital-friendly experience extend to all parts of your business. Be known as a forward-thinker with a modern approach to compliance.

Meticulously Evidenced

Regulator and Board scrutiny are on the rise. Ascent ensures you can demonstrate how your firm is in compliance, at all times.

Do better business with automated compliance.

Ascent gives us the ability to ingest the regulatory rulebooks [and] identify the applicable regulatory obligations that flow from those rules. All this happens without a human touch.

Manager, Broker-Dealer Firm

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