Securities and Exchange Commission (SEC) Compliance

SEC regulation protects investors against fraudulent or manipulative market practices and monitors corporate takeover actions. Typical offenses pursued by the SEC include insider trading, accounting fraud, and the use misleading or false information.

As the price of SEC compliance increases, the need for a more efficient and cost-effective solution than hiring an SEC compliance consultant and host of lawyers grows–enter Ascent RegTech.

The SEC collected over $4 billion in fines in 2018.

We help you gain complete control over your SEC compliance obligations.

Ascent offers SEC solutions for compliance. Our Regulation AI extracts your firm’s SEC obligations from oceans of regulatory text and distills them down into daily tasks. This targeted intelligence streamlines your horizon scanning and change management processes, ensuring you never miss an important detail.

Then, ensure completeness using Ascent’s full set of compliance management tools. The result is a traceable, end-to-end SEC compliance solution that helps you on the path towards 100% compliance.

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