— In this installment of Compliance Over Coffee, Ascent’s Rachael Battista subs in to talk to Corrie Ehler, regulatory banking expert and owner of the Regulatory Connections consultancy. Here are…
Ascent TeamMarch 10, 2021
Public confusion about the different roles that Broker-Dealers and Investment Advisors play prompted the Securities and Exchange Commission (SEC) to issue an Interpretive Release outlining The Standard of Conduct for…
Ascent TeamJuly 29, 2019
Wealth management, like every sector of the financial industry, has come in for its share of regulatory attention in recent years. Whereas the challenge of leveraging "big data" to find…
Ascent TeamJuly 23, 2019
(6 min read) Deciding whether or not to adopt a new platform can be stressful. Too often, businesses make the transition but are unable to successfully implement the tool to…
Ascent TeamJune 25, 2019
Ascent for Regulatory Change Management Ascent offers targeted regulatory knowledge — in other words, the obligations that are relevant for your firm, broken down in granular detail so you know…
Ascent TeamMay 8, 2019
The General Data Protection Regulation (GDPR) enforces strict requirements around Chief Data Officers (CDOs), EU citizen data management, and data permissions—including protocols for dealing with data breaches. --- GDPR, the…
Ascent TeamJanuary 6, 2019