A recent article in the New York Law Journal delineated the distinctive challenges lawyers face when confronted with FINRA Enforcement proceedings. While on the surface, FINRA enforcement actions may seem…
Ascent TeamJuly 8, 2020
“Helping customers successfully navigate their regulatory requirements in an uncertain world has never been more important, and the addition of our new regulatory monitoring solution better positions us to do…
Ascent TeamApril 14, 2020
“We’re honored to be included among the many top companies across the FinTech industry to be selected for this year’s FinTech Breakthrough Awards.” —Brian Clark, Founder and CEO, Ascent Ascent,…
Ascent TeamMarch 11, 2020
“It is absolutely mission critical that Australian financial institutions pay close attention to their obligations under ASIC and APRA, and Ascent’s AI-driven approach can play a key role in protecting…
Ascent TeamJanuary 15, 2020
Three new U.K. Regulators are now supported in Ascent's compliance management platform: the Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA), and London Clearing House (LCH), specifically LCH SA &…
Ascent TeamOctober 12, 2019
Regulatory change management continues to be a top challenge for financial institutions. Rule changes have increased by 500 percent in the last decade and it is estimated that 300 million…
Ascent TeamMay 8, 2019
Regulatory compliance programs cost financial firms billions of dollars annually. Much of this cost is a result of the exhaustive amount of time required…
Ascent TeamJanuary 20, 2019
GDPR, the EU's personal data protection and privacy regulatory ruleset for companies around the world became active in May of 2018. A Forrester report showed that just four months before…
Ascent TeamJanuary 6, 2019
PRESS RELEASE Ascent announced today that it has formalized an ongoing collaboration with the Financial Conduct Authority (FCA) with the purpose of componentizing the FCA Handbook. These efforts will help…
Ascent TeamNovember 18, 2018